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Dimitri Angelo Spanos

Oppenheimer & Co. Inc.

Scottsdale, AZ

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2022-02-04
  • AZ RA
    APPROVED
    Since 2022-02-04

Branch Locations

Scottsdale Kierland 1,14624 North Scottsdale Road Suite 190, Scottsdale, AZ 85254 • 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
Morgan Stanley Smith Barney Llc Scottsdale AZ 06/2009 01/2022
Morgan Stanley Private Bank, N.A. New York NY 01/2015 01/2022
Oppenheimer & Co Inc. Scottsdale AZ 01/2022 Present
  • 06/2009 → 01/2022
    Morgan Stanley Smith Barney Llc
    Scottsdale, AZ
  • 01/2015 → 01/2022
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 01/2022 → Present
    Oppenheimer & Co Inc.
    Scottsdale, AZ
Previous Registrations
  • 2009-06-01 → 2022-02-03
    Morgan Stanley
    Scottsdale, AZ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Scottsdale, AZ
    Scottsdale, AZ
  • 2006-09-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Scottsdale, AZ
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-01-16
S63 Uniform Securities Agent State Law Examination 1999-05-06
  • S65 Uniform Investment Adviser Law Examination
    2014-01-16
  • S63 Uniform Securities Agent State Law Examination
    1999-05-06
Other Names
  • Dimitri Angelo Spanos

View on SEC IAPD

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