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Carlos Bergouignan-Sotolongo

Oppenheimer & Co. Inc.

Coral Gables, FL

CRD 3242266

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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
FL RA APPROVED 2007-05-02
  • FL RA
    APPROVED
    Since 2007-05-02

Branch Locations

2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Miami FL 01/2003 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-30
  • S66 Uniform Combined State Law Examination
    2007-04-30
Other Names
  • Carlos A Bergouignan

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · CORAL GABLES, FL
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CORAL GABLES, FL

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