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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-02-02
  • CA RA
    APPROVED
    Since 2017-02-02

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States

Newport Beach, CA • 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
OrganizationCityStateFromTo
Usa Waterpolo Hungtinton Beach CA 01/2006 10/2016
Oppenheimer & Co. Inc. Newport Beach CA 10/2016 Present
  • 01/2006 → 10/2016
    Usa Waterpolo
    Hungtinton Beach, CA
  • 10/2016 → Present
    Newport Beach, CA
Other Businesses

1. ABOUT 4-6 HOURS A MONTH OF FREELANCE WATER POLO INSTRUCTION. TAKING PLACE AT VARIOUS PUBLIC POOL FACILITIES. IT IS NOT RELATED TO ANY INVESTMENT ACTIVITY OR FIRM. 2. PUBLIC, MOTIVATIONAL SPEAKING. DISCUSSING TEAM BUILDING AND MY OLYMPIC SPORTS CAREER. WILL NOT BE DISCUSSING OPPENHEIMER OR THIS BUSINESS. 3. RINCON POINT PARTNERS - 8118 BUENA FORTUNA STREET, RINCON, CA 93013. MY POSITION WILL BE PARTNER. OTHER PARTNER IS DONALD P. BARKER. THE NATURE OF THE PARTNERSHIP IS TO BROKER, INVEST, AND ACQUIRE REAL ESTATE. MY COMPENSATION WILL BE CASH, AND CO-OWNERSHIP OF PROPERTY. I WILL SPEND ROUGHLY 2-4 HOURS A MONTH. THERE WILL BE NO PERSONS AFFILIATED WITH OPPENHEIMER & CO., INC. WE HAVE NOT TRANSACTED OR ACTED IN A BUSINESS SENSE AS OF YET. WE ARE IN THE FORMATION STAGES OF THE PARTNERSHIP SINCE 7/2/19. 4. I DEVOTE LESS THEN 2 HOURS MONTHLY TO MANN CAPITAL LLC. IT IS AN INVESTMENT LLC FOR REAL ESTATE IN WHICH I AM THE SOLE PARTNER. 5. I AM THE TRUSTEE OF MY PERSONAL FAMILY TRUST, THE MANN FAMILY TRUST. 1 HOUR PER MONTH TIME COMMITTMENT. 1-2 HOURS MONTHLY INVESTMENT RELATED ADMINISTRATION (SECURITIES CUSTODIES AT OPPENHEIMER & CO. INC) 6. I OWN "3" DOMAIN NAMES. ***JOHNMANNUSA.COM;SHAOLBROS.COM;RINCONPOINTPARTNERS.COM*** THESE DOMAINS WERE PURCHASED AS THEY ARE SPECIAL NAMES TO ME AND NOT BRING USED FOR BUSINESS AT THIS TIME. THERE IS NO ACTIVE BUSINESS AFFILIATED WITH THESE. I DEVOTE 0 HOURS A MONTH.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-02
  • S66 Uniform Combined State Law Examination
    2017-02-02

View on SEC IAPD

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