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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2009-08-26 |
Branch Locations
3200 Cherry Creek South Drive Suite 310, Denver, CO 80209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer & Co. Inc, | Denver | CO | 08/2009 | Present |
1. FRISCO SANITATION DISTRICT, P.O. BOX 601, FRISCO, CO 80443. HOLDS TITLE AS DIRECTOR. DUTIES ARE OVERSIGHT, POLICY AND STRATEGY. WORKS 1 HOUR PER MONTH AND 0 DURING SECURITIES TRADING HOURS. 2. TRUSTEE OF WANDA HALL TRUST. RESPONSIBLE FOR ADMINISTERING TRUST PURSUANT TO THE TRUST GUIDELINES. TIME REQUIRED WILL BE 3-5 HOURS PER MONTH. ADDRESS FOR TRUST BUSINESS IS MY PERSONAL RESIDENCE. INVESTMENT ADVICE AND EXECUTION TO BE HANDLED BY OTHERS. ADMINISTER FAMILY TRUST AS TRUSTEE AFTER MOTHER'S DEATH IN AUGUST 2017. PAY TAXES, COLLECT ROYALTIES AND DISTRIBUTE PROCEEDS - 1/2 HOUR PER MONTH AFTER BUSINESS HOURS - NO SECURITIES INVOLVED. 3. 706 FRISCO LLC/NOT INVESTMENT RELATED. ADDRESS IS THAT OF A RELATIVE. REAL ESTATE DEVELOPMENT. POSITION: MEMBER/START DATE: 6/27/23. HOURS: 3-5 MO - 0 DURING TRADING HOURS 4. HAASS FAMILY TRUS-PERSONAL TRUST FOR ESTATE PLANNING-1/2 HOURS PER MONTH-SELF ADVISE INVESTMENTS -
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1985-12-03 |
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