About Oppenheimer & Company
Oppenheimer & Co. Inc. ("Oppenheimer") is a leading investment bank and full-service investment firm that provides financial services and advice to high net worth investors, individuals, businesses and institutions. For over 125 years, we have provided investors with the necessary expertise and insight to meet the challenge of achieving their financial goals. Our commitment to our clients' investment needs, our experienced and dedicated professionals, and our proud tradition empower us to deliver effective and innovative solutions to our clients.
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General Information
Firm Start Year
1922
No. of Employees
2000-4999
CRD#
1532335
Firm CRD#
249
Name of Broker/Dealer
Oppenheimer & Co.
States Licensed in
AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MI, MN, MO, MS, NC, NE, NJ, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WY
Years of Experience in Financial Services
33
Number of Years with Current Firm
28
Work Experience
Became a financial consultant right out of college in 1985 starting with PaineWebber. Moved to Oppenheimer in 1994.
Work with the following types of clients
Individual Investors, Non-Profit Organizations, Businesses
Advisory Services Provided
Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Education Funding and Planning, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 4, Series 6, Series 7, Series 63, Series 65, Series 23
Insurance and Annuity Licenses
Variable Annuity, Long Term Care, Variable Life, Disability, Annuity, Health, Life
Firm Information
Firm's Number of Clients
200,000+
Assets Managed by Firm
$150,000,000,000
Advisor's Number of Clients
1000
Advisor's Number of Managed Clients
800
Advisor's Number of Planning Clients
950
Assets Managed by Advisor
$500,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$500,000
Compensation Methods
Based on Assets
Fee % Based on Assets
1.0
Education
Finance Degree - Finance
University of Missouri Columbia
6/1981 -12/1985
Disclosures
Additional Detailed Disclosures
https://www.financialplanners.net/disclosure/1856068/financialplanners-Oppenheimer-&-Company-detailed-disclosure.html