This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

OPPENHEIMER & CO. INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Aug 28, 2020

First registration

Sep 1, 2020

Dual registered

yes, broker-dealer

Other names

Sophie Tran|NHI TRAN|NHI HONG THAO TRAN|Nhi HONG THAO Sulimowicz

IAPD individual key

7127741

• Occurred

  Aug 2, 2026
  Advisor changed firm

  Sophie Nhi Sulimowicz left Charles Schwab & Co., Inc. for Oppenheimer & Co. Inc. (registered 2026-07-22)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:19db6b8c-e3a2-1902-6927-3e3414ea18e4

First observed

Sep 1, 2020

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.