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

Jan 18, 1999earliest registration or exam on IAPD

Years in industry

27derivedfrom the industry start date

Years at current firm

13derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S65|S63|S66

First exam

Jan 18, 1999

First registration

Sep 15, 2010

Dual registered

yes, broker-dealer

Other names

DAVE LEE|DAVID GAEN LEE

IAPD individual key

2675581

Graph

RIA / Wealth Management

Canonical id

dfx:ria:60be434b-a9b3-ddbe-412a-c4308468f16f

First observed

Sep 15, 2010

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.