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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-02-03 |
| IL | RA | APPROVED | 2005-05-12 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
Rio Verde, AZ • 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Chicago | IL | 05/2005 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-03-07 |
| S63 | Uniform Securities Agent State Law Examination | 1984-01-18 |
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