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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2017-04-10 |
| MO | RA | APPROVED | 2007-11-05 |
Branch Locations
One North Brentwood Boulevard Suite 600, St. Louis, MO 63105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | St. Louis | MO | 01/2003 | Present |
| Oppenheimer Asset Management Inc. | New York | NY | 04/2003 | Present |
TRUSTEE OF MOTHERS TRUST. NO TIME IS NEEDED.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1987-02-19 |
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