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

DAVID ALEXANDER HERTL

Advisor at OPPENHEIMER & CO. INC.

PICKERINGTON, OH | BEACHWOOD, OH

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Search this name across graphsid dfx:ria:85bbd050-1099-eab7-8ca1-b1e8215e361a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 24, 2002 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: Aug 15, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 15, 1991
First registration: Apr 24, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2154822

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	Aug 13, 2013	n/a	yes	PICKERINGTON, OH\|BEACHWOOD, OH	Current employment
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jan 12, 2009	Aug 12, 2013	no	WORTHINGTON, OH	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	Sep 5, 2007	Feb 6, 2009	no	WORTHINGTON, OH	Previous registration
OSAIC FA, INC.	Former SEC adviser	Nov 4, 2003	Nov 9, 2005	no	COLUMBUS, OH	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Apr 24, 2002	Sep 25, 2003	no	COLUMBUS, OH	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
INVEST FINANCIAL CORPORATION	OPPENHEIMER & CO. INC.	Aug 12, 2013	Aug 13, 2013	1	Firm change	Other
FSC SECURITIES CORPORATION	INVEST FINANCIAL CORPORATION	Feb 6, 2009	Jan 12, 2009	-25	Firm change	Other
OSAIC FA, INC.	FSC SECURITIES CORPORATION	Nov 9, 2005	Sep 5, 2007	665	Firm change after gap	Other
BANC ONE SECURITIES CORPORATION	OSAIC FA, INC.	Sep 25, 2003	Nov 4, 2003	40	Firm change	Other

Relationships

Registered with (5)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Aug 13, 2013 to presentfactForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jan 12, 2009 to Aug 12, 2013factForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 5, 2007 to Feb 6, 2009factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Nov 4, 2003 to Nov 9, 2005factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 24, 2002 to Sep 25, 2003factForm ADV

Dated events

No dated event names this entity yet.