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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

JACK EDWARD FAY

Advisor at OPPENHEIMER & CO. INC.

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:a4ecf440-b37b-0a78-bdae-766e5e92f2a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2011 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: Mar 29, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 29, 2011
First registration: Apr 5, 2011
Dual registered: yes, broker-dealer
Other names: JACK FAY|EDWARD FAY|Jack Edward Fay|Jack E Fay
IAPD individual key: 5586214

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	Jan 6, 2020	n/a	yes	MINNEAPOLIS, MN	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Apr 11, 2018	Oct 9, 2019	no	NEW YORK, NY\|MINNEAPOLIS, MN	Previous registration
Ehlers	Institutional manager	Sep 14, 2012	Apr 5, 2018	no	MINNEAPOLIS, MN\|ROSEVILLE, MN	Previous registration
FAY INVESTMENTS & PLANNING	n/a	Apr 5, 2011	Feb 29, 2012	no	BAYFIELD, WI	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
RBC CAPITAL MARKETS, LLC	OPPENHEIMER & CO. INC.	Oct 9, 2019	Jan 6, 2020	89	Firm change	Ibd to ibd
Ehlers	RBC CAPITAL MARKETS, LLC	Apr 5, 2018	Apr 11, 2018	6	Firm change	Other
FAY INVESTMENTS & PLANNING	Ehlers	Feb 29, 2012	Sep 14, 2012	198	Firm change	Other

Relationships

Registered with (4)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Jan 6, 2020 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Apr 11, 2018 to Oct 9, 2019factForm ADV
→ EHLERSRegistered adviserregistration: previous registration
Sep 14, 2012 to Apr 5, 2018factForm ADV
→ FAY INVESTMENTS & PLANNINGRegistered adviserregistration: previous registration
Apr 5, 2011 to Feb 29, 2012factForm ADV

Dated events

No dated event names this entity yet.