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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-11-05 |
| TX | RA | APPROVED_RES | 2024-11-04 |
Branch Locations
680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States
2121 Palomar Airport Road Suite 130, Carlsbad, CA 92011 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Escondido | CA | 03/2008 | 10/2016 |
| Stifel Nicolaus & Co Inc | Rancho Bernardo | CA | 10/2016 | 11/2024 |
| Oppenheimer & Co. Inc. | Carlsbad | CA | 11/2024 | Present |
I AM THE TRUSTEE OF MY DECEASED UNCLE'S ESTATE ASSETS. THEY ARE MANAGED FOR AN ADVISORY FEE WHICH IS MY ONLY COMPENSATION. I SPEND LESS THAN ONE HOUR PER MONTH EXCEPT FOR DISTRIBUTION TIME AT YEAR END-THEN THE TIME IS PERHAPS 2 OR 3 HOURS. DISTRIBUTIONS ARE FOR SCHOLARSHIP TO CHILDREN OF THOMAS STEHLY NIECES & NEPHEWS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-18 |
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