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Lora Elaine Carlon

Oppenheimer & Co. Inc.

Chicago, IL

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2014-10-10
  • IL RA
    APPROVED
    Since 2014-10-10

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • 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. Chicago IL 09/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-10
S63 Uniform Securities Agent State Law Examination 1994-08-24
  • S65 Uniform Investment Adviser Law Examination
    2014-10-10
  • S63 Uniform Securities Agent State Law Examination
    1994-08-24
Other Names
  • Lora E Carlon
  • Lora E Moffit

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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