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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-07 |
| TX | RA | APPROVED_RES | 2016-09-30 |
| NJ | RA | APPROVED | 2008-11-12 |
Branch Locations
666 3Rd Avenue, New York, NY 10017 • United States
New York, NY • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Free Lance Artist | Madison | WI | 06/1967 | Present |
| Oppenheimer & Co. Inc. | New York | NY | 01/2003 | Present |
1.I AM ON THE BOARD OF OLLEYES, AN EMERGING MEDICAL TECHNOLOGY COMPANY. I SPEND LESS THAN 5 HOURS A MONTH ON THIS VENTURE. START DATE: NOVEMBER 2019. 2.I WAS ASKED TO SIT ON THE BOARD OF THE NY CITY OPERA. THIS IS PHILANTHROPIC AND NOT BUSINESS RELATED.I EXPECT TO ATTEND FOUR BOARD MEETINGS A YEAR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-24 |
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