Oppenheimer & Co Inc.
Firm details
- Headquarters
- New York, New York
- CRD number
- 249
- Registered since
- February 9, 1955
- Website
- www.oppenheimer.com
- Custodians
- OPPENHEIMER & CO. INC.
- Fee structure
- Percentage of AUM, Fixed Fees, Commissions
- Client types
- Individuals45.9%
- Other30.25%
- HNWI15.62%
- Corporations / Businesses5.45%
- Pension & Profit Sharing Plans1.25%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Oppenheimer & Co Inc. is a broker-dealer and investment bank that also operates as a qualified custodian and capital allocator for both individual/family and institutional clients. The firm provides a mix of commission-based brokerage and advisory services, including financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, and selection of other advisers. It also functions as an insurance broker and participates as sponsor, general partner or managing member of pooled investment vehicles. The firm uses a hybrid fee model — percentage-based fees on assets under management alongside fixed fees and commission revenue. It does not self-identify as an active ESG investor, and it has been SEC-registered since 1955.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds57%
- Exchange Traded Equities30%
- US Government Bonds3%
- Investment Grade Corp Bonds3%
- Other3%
Owners & executives
3 of 15
Robert Lowenthal
President and Chief Executive OfficerCRD 1639913
Maria Pejoro
Chief Compliance OfficerCRD 1853703
Brian Roth
Chief Compliance OfficerCRD 1424322
Contacts
3 of 1901
Ronald Richmond
Executive Director, InvestmentsCRD 5652999
Jane Okulski
Senior Director, InvestmentsCRD 5656018
Derek Raymond
Executive Director, InvestmentsCRD 5658434
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 1,455Active vs passive
$6.7B in ETFs
83%
$5.5B
15%
$1.2B
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $101M | 136,940 | 1.51% |
Location
New York, NY
New York
Location
New York, NY
Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.
- Metro area
- New York-Newark, NY-NJ-CT-PA
- Region
- Northeast
- County
- New York
- Address
- 85 Broad St
- Time zone
- ET (UTC-5)
- Office locations
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