David Earl Tipton

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2015-12-17
AK	RA	APPROVED	2006-01-05

KS RA
APPROVED

Since 2015-12-17
AK RA
APPROVED

Since 2006-01-05

Branch Locations

Mission Farms 10601 Mission Road 3Rd Flr, Leawood, KS 66206 • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Fahnestock & Co., Inc.	New York	NY	03/1990	Present

03/1990 → Present

Fahnestock & Co., Inc.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-12-14
S63	Uniform Securities Agent State Law Examination	1980-09-23

S65 Uniform Investment Adviser Law Examination

2005-12-14
S63 Uniform Securities Agent State Law Examination

1980-09-23

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Exams

Other Firms

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