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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-09-25 |
| CT | RA | APPROVED | 2006-10-30 |
Branch Locations
263 Tresser Blvd Suite 500, Stamford, CT 06901 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Stamford | CT | 10/2006 | Present |
1.AUBUCHON HARDWARD - PRIVATE COMPANY, ELECTED AS DIRECTOR, WILL ATTEND 4 BOARD MEETINGS, THEN ROUGHLY 15 HOURS, THIS IS A FAMILY OWNED BUSINESS, MY WIFE IS A LARGE SHARE HOLDER 2.I AM A NON-PROFIT BOARD OF SUSAN FLYNN ONCOLOGY NURSING DEVELOPMENT PROGRAM. 4 HRS PER MONTH. START DATE 2/13/17. BOARD OF DIRECTORS SUSAN FLYNN ONCOLOGY NURSING DEVELOPMENT PROGRAM. 256 OCEAN DRIVE WEST, STAMFORD, CT 06902 3.GOLF COMMITTEE-INNIS ARDEN GOLF CLUB - MEET 1-2 TIMES PER QUARTER TO DISCUSS ACTIVITIES AND EVENTS FOR THE CLUB 1-2 HOURS PER QUARTER
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-14 |
| S63 | Uniform Securities Agent State Law Examination | 1987-03-20 |
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