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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

HEE YANG

Advisor at OPPENHEIMER & CO. INC.

CHICAGO, IL

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Search this name across graphsid dfx:ria:67552ffd-74cf-854d-9bbe-355c2d859222

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 28, 1999 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

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: Jul 23, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jul 23, 1991
First registration: Jun 28, 1999
Dual registered: yes, broker-dealer
Other names: TONI YANG|HEE SOOK YANG
IAPD individual key: 2122110

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Oct 24, 2024	n/a	yes	CHICAGO, IL	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 9, 2022	Nov 13, 2024	no	Chicago, IL	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	May 4, 2004	Dec 31, 2022	no	CHICAGO, IL\|Chicago, IL	Previous registration
HOWE BARNES CAPITAL MANAGEMENT, INC.	n/a	Jun 28, 1999	May 6, 2004	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B. RILEY WEALTH ADVISORS, INC.	OPPENHEIMER & CO. INC.	Nov 13, 2024	Oct 24, 2024	-20	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Aug 9, 2022	-144	Bulk transfer	Ibd to ibd
HOWE BARNES CAPITAL MANAGEMENT, INC.	B RILEY WEALTH MANAGEMENT	May 6, 2004	May 4, 2004	-2	Firm change	Other

Relationships

Registered with (4)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Oct 24, 2024 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 9, 2022 to Nov 13, 2024factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 4, 2004 to Dec 31, 2022factForm ADV
→ HOWE BARNES CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 28, 1999 to May 6, 2004factForm ADV

Dated events

Occurred
Nov 13, 2024
Advisor changed firm
Hee Yang left B. Riley Wealth Advisors, Inc. for Oppenheimer & Co. Inc. (registered 2024-10-24)
Form ADVobserved 4 days ago