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Philip Norman Rothman

Oppenheimer & Co. Inc.

Princeton, NJ

East Brunswick, NJ

CRD 1564681

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Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-04-22
NJ RA APPROVED 2010-04-15
  • TX RA
    APPROVED_RES
    Since 2016-04-22
  • NJ RA
    APPROVED
    Since 2010-04-15

Branch Locations

302 Carnegie Center Suite 101, Princeton, NJ 08540 • United States

East Brunswick, NJ • 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. Princeton NJ 04/2010 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-06
S63 Uniform Securities Agent State Law Examination 1986-10-06
  • S65 Uniform Investment Adviser Law Examination
    1992-05-06
  • S63 Uniform Securities Agent State Law Examination
    1986-10-06
Designations
  • Certified Financial Planner

View on SEC IAPD

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