|
|
|
|
|
|
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. |
|
| |
|
|
General Information |
| Years of Experience in Financial Services: |
33
|
|
|
|
|
|
| Work Experience: |
Became a financial consultant right out of college in 1985 starting with PaineWebber. Moved to Oppenheimer in 1994.
|
|
|
|
| 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
|
|
| Number of Years with Current Firm: |
28
|
|
| Work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations
|
|
| Name of Broker/Dealer: |
Oppenheimer & Co.
|
|
| Advisory Services Provided: |
Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting
|
|
| |
|
Education |
| Academic Background |
| |
| B.S. Rinance University of Missouri, Columbia |
|
| |
|
Services |
| Investment Types: |
Mutual Funds, FOREX & Currency, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)
|
|
| Can meet clients in the following ways: |
Your Office, Phone, Our Office, Your Home, Video Conference
|
|
| |
|
Qualifications & Memberships |
| Securities Licenses: |
Series 4, Series 6, Series 7, Series 63, Series 65, Series 23
|
|
| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Disability
|
|
| |
|
Firm Information |
| Assets Managed by Firm: |
$150,000,000,000
|
|
| Assets Managed by Advisor: |
$500,000,000
|
|
| Advisor's Number of Clients: |
1000
|
|
| Firm's Number of Clients: |
200,000+
|
|
| Advisor's Number of Planning Clients: |
950
|
|
| Advisor's Number of Managed Clients: |
800
|
|
| |
|
Compliance |
| Criminal Disclosures in Last 5 years: |
I have a clean record
|
|
| Compliance Disclosures in Last 5 years: |
I have a clean record
|
|
| Registered Investment Advisor: |
Yes
|
|
| Registered Representative: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| Acknowledged fiduciary: |
Yes
|
|
| |
|
Compensation and Fees |
| Fee % Based on Assets: |
1.0
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$500,000
|
|
|
|
| |
|
| |
| |
|
|
