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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-05-16 |
| LA | RA | APPROVED | 2016-05-11 |
| MO | RA | APPROVED | 2007-11-08 |
Branch Locations
One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cibc World Markets | St Louis | MO | 11/1994 | Present |
| Fahnestock & Co. Inc. | New York | NY | 01/2003 | Present |
| Oppenheimer Asset Management Inc. | New York | NY | 04/2003 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-01-05 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-29 |
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