OPPENHEIMER & CO. INC.
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OPPENHEIMER & CO. INC.
(CRD# 249)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Feb 1955.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$10.6 Billion,
with discretion over
57%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
2%
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OPPENHEIMER & CO. INC.
also reported in
Mar 2019
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2868
employees,
with
804
performing advisory functions.
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A total of 78 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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OPPENHEIMER & CO. INC. has one or more disclosure events currently on file with the SEC.
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OPPENHEIMER & CO. INC. has Notice Filings with the following State Securities Authorities: AK-Jan 2003, AL-Jan 2003, AR-Jan 2003, AZ-Apr 2002, CA-Jul 19
, CO-Jan 2003, CT-Dec 1998, DC-Jan 2003, DE-Sep 2003, FL-Feb 1
, GA-Jan 2003, HI-Jan 2003, IA-Jan 2003, ID-Jan 2003, IL-Jan 1
, IN-Jan 2003, KS-Jan 2003, KY-Jan 2003, LA-Oct 2001, MA-May 1
, MD-Jan 2003, ME-Nov 1994, MI-Jan 2003, MN-Jan 2003, MO-Jan 2
, MS-Jan 2003, MT-Jan 2003, NC-Jan 2001, ND-Jan 2003, NE-Jan 2
, NH-Jun 1992, NJ-Jan 2003, NM-Jun 1994, NV-Jan 1998, NY-Jan 1
, OH-Feb 2003, OK-Jan 2003, OR-Jan 2003, PA-Jan 2003, PR-Jan 2
, RI-Jan 2003, SC-Jan 2003, SD-Jan 2003, TN-Jan 2003, TX-Jan 2
, UT-Jan 2003, VA-Apr 1994, VT-Dec 1995, WA-Jan 2003, WI-Feb 2
, WV-May 1994
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
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for errors or omissions. Please note
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