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Oppenheimer & Co. Inc. CRD 249
$36.7B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2015-12-07 |
| IL | RA | APPROVED | 2007-11-26 |
Branch Locations
63 Kercheval Avenue Suite 300, Grosse Pointe Farms, MI 48236 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co., Inc. | Grosse Pointe Woods | MI | 01/1999 | Present |
1.ACTING AS CO-TRUSTEE OF THE HAL H. SMITH III GST TRUST U.A.D. 1/1/84 FBO DAISY GIBB, 2.TRUSTEE OF MY OWN TRUST.DEAN M SMITH & DIANE D SMITH TTEES. DEAN M SMITH LIVING TRUST U/A DTD 09/26/2012.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-01 |
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