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

Sep 1, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

3

Exams

S66

First exam

Sep 4, 2008

First registration

Jul 25, 2016

Dual registered

yes, broker-dealer

Other names

NICHOLAS JOHN HALL|NICHOLAS HALL

IAPD individual key

5353394

• Occurred

  Dec 14, 2023
  Advisor changed firm

  Nicholas John Hall left Maxim Financial Advisors Llc for Oppenheimer & Co. Inc. (registered 2023-11-16)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3650a626-3c4d-0fe3-c3b2-b3e2124fdb5c

First observed

Jul 25, 2016

Last observed

Sep 14, 2026 6 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.