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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2016-12-05 |
Branch Locations
Phipps Tower-3438 Peachtree Rd Ne Suite 950, Atlanta, GA 30326 • United States
Brookhaven, GA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Atlanta | GA | 08/2016 | Present |
1. MARIA CEDES GUARIS CO., LLC. IT IS INVESTMENT RELATED. 15 ROSE CT NE, ATLANTA, GA 30342. START DATE: FEB. 14, 2025. FAMILY INVESTMENT BUSINESS (NATURE OF BUSINESS). MY POSITION: MANAGER (MY MOM IS CO-MANAGER). HOURS/MONTH I DEVOTE TO THE BUSINESS: 2 HOURS. O HOURS DURING SECURITIES TRADING HOURS. NY DUTIES: I AM A MANAGER ON MY MOM'S LLC, MEANING I CAN SIGN OR CO-SIGN ON DOCUMENTS PERTAIING TO THE INVESTMENTS WITHIN THE LLC. 2.DAVID J THOMPSON 2014 TRUST-YES, INVESTMENT RELATED-HELD AT MY RESIDENCE-NATURE: A TRUST TO GIFT AND GROW ASSETS FOR THE BENEFICIARY. POSITION:TRUSTEE STARTE DATE: NOVEMBER 22,2021 APPROXIMATE HOURS PER YEAR DEVOTED: 10 HOURS PER YEAR (10 HOURS DURING TRADING HOUR SINCE IT IS INVESTMENT RELATED) DUTY: TO PICK PUBLICLY TRADED SUITABLE INVESTMENTS FOR THE TRUST AND APPROVE DISTRIBUTIONS. 3. LUKE THOMPSON 2014 TRUST-YES,INVESTMENT RELATED-HELD AT MY RESIDENCE-NATURE: A TRUST TO GIFT AND GROW ASSETS FOR THE BENEFICIARY. POSITION:TRUSTEE STARTE DATE: NOVEMBER 22,2021 APPROXIMATE HOURS PER YEAR DEVOTED: 10 HOURS PER YEAR (10 HOURS DURING TRADING HOUR SINCE IT IS INVESTMENT RELATED) DUTY: TO PICK PUBLICLY TRADED SUITABLE INVESTMENTS FOR THE TRUST AND APPROVE DISTRIBUTIONS. 4. SHELBY C THOMPSON 2017 TRUST-YES,INVESTMENT RELATED-HELD AT MY RESIDENCE-NATURE: A TRUST TO GIFT AND GROW ASSETS FOR THE BENEFICIARY. POSITION:TRUSTEE STARTE DATE: NOVEMBER 22,2021 APPROXIMATE HOURS PER YEAR DEVOTED: 10 HOURS PER YEAR (10 HOURS DURING TRADING HOUR SINCE IT IS INVESTMENT RELATED) DUTY: TO PICK PUBLICLY TRADED SUITABLE INVESTMENTS FOR THE TRUST AND APPROVE DISTRIBUTIONS. 5. HAYDEN WATT 2022 TRUST-YES,INVESTMENT RELATED-HELD AT MY RESIDENCE-NATURE: A TRUST TO GIFT AND GROW ASSETS FOR THE BENEFICIARY. POSITION:TRUSTEE STARTE DATE: JANUARY 27, 2022 APPROXIMATE HOURS PER YEAR DEVOTED: 10 HOURS PER YEAR (10 HOURS DURING TRADING HOUR SINCE IT IS INVESTMENT RELATED) DUTY: TO PICK PUBLICLY TRADED SUITABLE INVESTMENTS FOR THE TRUST AND APPROVE DISTRIBUTIONS. 6. I AM THE TRUSTEE FOR MY SON WESLEY WATT'S TRUST. I AM ALSO THE FINANCIAL ADVISOR ON THE TRUST ACCOUNT. INVESTMENT RELATED. ADDRESS: 3576 SEXTON WOODS DRIVE, ATLANTA,GA 30341. TRUSTEE AND FINANCIAL ADVISOR ON MY SON'S TRUST 2 HOURS PER MONTH 1 HOUR PER MONTH DURING BUSINESS/TRADING HOURS. MY DUTY IS TO SERVE AS TRUSTEE AND THE FINANCIAL ADVISOR TO THIS INVESTMENT RELATED TRUST.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-12-03 |
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