Directory of Professional Retirement Planners
National Coverage
Local Professionals
VERIFIED
Clayton, MO 63105
314-746-2540
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.
See Disclosures
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
40
Number of Years with Current Firm
31
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
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Financial Advice & Consulting, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Investment Advice & Management
Services
Investment Types
Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Options & Futures, Bonds, FOREX & Currency, Annuities, Insurance, Mutual Funds, Commodities, Stocks, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Your Home, Our Office, Phone, Your Office, Video Conference
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 23, Series 4, Series 6, Series 7, Series 63, Series 65
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Disability
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
Total Assets Under Management 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
RetirementPlanning.net provides referrals to financial professionals. RetirementPlanning.net is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for RetirementPlanning.net to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.retirementplanning.net/disclosure/1856068/retirementplanning-Oppenheimer-&-Company-detailed-disclosure.html