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Donna Sue Guerrero

Oppenheimer & Co. Inc.

Houston, TX

Richmond, TX

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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 2009-03-20
  • TX RA
    APPROVED
    Since 2009-03-20

Branch Locations

711 Louisiana Street 15Th Floor, Houston, TX 77002 • United States

Richmond, TX • 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
Oppenheimer & Co. Inc. Houston TX 03/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-26
S63 Uniform Securities Agent State Law Examination 1993-02-08
  • S65 Uniform Investment Adviser Law Examination
    1997-08-26
  • S63 Uniform Securities Agent State Law Examination
    1993-02-08
Other Names
  • Donna Sue Oertli

View on SEC IAPD

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