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Robert David Rosenstock

Oppenheimer & Co. Inc.

Los Angeles, CA

Playa Vista, CA

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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 2017-05-17
CA RA APPROVED 2007-11-05
  • TX RA
    APPROVED_RES
    Since 2017-05-17
  • CA RA
    APPROVED
    Since 2007-11-05

Branch Locations

10880 Wilshire Boulevard 23Rd Floor, Los Angeles, CA 90024 • United States

Playa Vista, CA • 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
Fahnestock & Co. Inc. Los Angeles CA 01/2003 Present
Oppenheimer Asset Management Inc. New York NY 04/2003 Present
  • 01/2003 → Present
    Fahnestock & Co. Inc.
    Los Angeles, CA
  • 04/2003 → Present
    Oppenheimer Asset Management Inc.
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-10
S63 Uniform Securities Agent State Law Examination 1990-10-18
  • S65 Uniform Investment Adviser Law Examination
    1992-07-10
  • S63 Uniform Securities Agent State Law Examination
    1990-10-18
Other Names
  • Robert D. Rice

View on SEC IAPD

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