Best Investors Account Sign in

Robert David Rosenstock

Oppenheimer & Co. Inc.

Los Angeles, CA

Playa Vista, CA

CRD 1590277

Claim This Profile
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 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

Nearby Firms

POST ADVISORY GROUP, LLC
WESTMOUNT PARTNERS, LLC
GIDEON CAPITAL, LLC

Nearby Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER

Nearby Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA

More in Los Angeles, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor