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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-07 |
| NJ | RA | APPROVED | 2018-09-12 |
Branch Locations
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
New York, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nori, Hennion, Walsh, Inc. | Parsippany | NJ | 06/1999 | 08/2018 |
| Oppenheimer & Co. Inc. | New York | NY | 09/2018 | Present |
I AM THE TRUSTEE OF THE JOHN R. & NANCY H. DUBOIS FAMILY TRUST.THE ADDRESS OF THE TRUST IS MY PARENTS' ADDRESS OF 13 VERDI BLVD., LATHAM, NY 12110. THE TRUST WAS ESTABLISHED ON 7/15/15 FOR ESTATE PLANNING PURPOSES. I HAVE BEEN TRUSTEE SINCE THIS DATE. I SPEND APPROXIMATELY 15-30 MINUTES ON THIS PER YEAR, DEALING WITH TRUST ADMINISTRATIVE MATTERS & REPLACING BONDS WHEN THEY MATURE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-02 |
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