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OPPENHEIMER & CO. INC.
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 Oct 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $11.2 Billion, and has discretion over 56% of those assets.   Pooled investment vehicles (Private Funds) account for 1% of RAUM.   Non-US investors represent 2% .  
 
OPPENHEIMER & CO. INC. also reported in Oct 2018:
  • 2,740 employees, with 911 performing advisory functions.
  • A total of 78 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
OPPENHEIMER & CO. INC. has one or more disclosure events currently on file with the SEC.
 

View OPPENHEIMER & CO. INC.'s most recent Form ADV filing
 


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 1997 , CO-Jan 2003, CT-Dec 1998, DC-Jan 2003, DE-Sep 2003, FL-Feb 1990 , GA-Jan 2003, HI-Jan 2003, IA-Jan 2003, ID-Jan 2003, IL-Jan 1989 , IN-Jan 2003, KS-Jan 2003, KY-Jan 2003, LA-Oct 2001, MA-May 1994 , MD-Jan 2003, ME-Nov 1994, MI-Jan 2003, MN-Jan 2003, MO-Jan 2003 , MS-Jan 2003, MT-Jan 2003, NC-Jan 2001, ND-Jan 2003, NE-Jan 2003 , NH-Jun 1992, NJ-Jan 2003, NM-Jun 1994, NV-Jan 1998, NY-Jan 1984 , OH-Feb 2003, OK-Jan 2003, OR-Jan 2003, PA-Jan 2003, PR-Jan 2003 , RI-Jan 2003, SC-Jan 2003, SD-Jan 2003, TN-Jan 2003, TX-Jan 2003 , UT-Jan 2003, VA-Apr 1994, VT-Dec 1995, WA-Jan 2003, WI-Feb 2000 , WV-May 1994

Disclaimer:  The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel Free to contact FindingFraud.org with questions or concerns.