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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-04-16
LA RA APPROVED 2016-04-08
IL RA APPROVED 2007-11-13
  • TX RA
    APPROVED_RES
    Since 2016-04-16
  • LA RA
    APPROVED
    Since 2016-04-08
  • IL RA
    APPROVED
    Since 2007-11-13

Branch Locations

500 West Madison Suite 3800, Chicago, IL 60661 • United States

Chicago, IL • United States

West Monroe, LA • 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. New York NY 04/2003 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-06
S63 Uniform Securities Agent State Law Examination 1987-02-24
  • S66 Uniform Combined State Law Examination
    2001-11-06
  • S63 Uniform Securities Agent State Law Examination
    1987-02-24

View on SEC IAPD

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