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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2016-12-05
  • GA RA
    APPROVED
    Since 2016-12-05

Branch Locations

Phipps Tower-3438 Peachtree Rd Ne Suite 950, Atlanta, GA 30326 • United States

Brookhaven, GA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Atlanta GA 08/2016 Present
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-03
  • S66 Uniform Combined State Law Examination
    2016-12-03

View on SEC IAPD

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