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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)23 years in industry

MITCHEL STUART PENN

Advisor at OPPENHEIMER & CO. INC.

NEW YORK, NY | REISTERSTOWN, MD

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Search this name across graphsid dfx:ria:bd0642b2-3880-a104-dfce-db5be373a599

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 25, 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: Sep 25, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S66
First exam: May 14, 2012
First registration: Sep 25, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 2758658

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	Mar 3, 2021	n/a	yes	NEW YORK, NY\|REISTERSTOWN, MD	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Apr 19, 2012	Mar 9, 2021	no	Philadelphia, PA\|Lutherville (Greenspring), MD\|TOWSON, MD\|PHILADELPHIA, PA\|TOWSON, MD\|Philadelphia, PA\|TOWSON, MD	Previous registration
CLEARBRIDGE INVESTMENTS	Former SEC adviser	Jun 30, 2005	Feb 24, 2012	no	BALTIMORE, MD\|BALTIMORE, MD	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	Sep 25, 2002	Jun 30, 2005	no	BALTIMORE, MD	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
JANNEY MONTGOMERY SCOTT LLC	OPPENHEIMER & CO. INC.	Mar 9, 2021	Mar 3, 2021	-6	Firm change	Ibd to ibd
CLEARBRIDGE INVESTMENTS	JANNEY MONTGOMERY SCOTT LLC	Feb 24, 2012	Apr 19, 2012	55	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CLEARBRIDGE INVESTMENTS	Jun 30, 2005	Jun 30, 2005	0	Firm change	Other

Relationships

Registered with (4)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
Mar 3, 2021 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Apr 19, 2012 to Mar 9, 2021factForm ADV
→ CLEARBRIDGE INVESTMENTSRegistered adviserregistration: previous registration
Jun 30, 2005 to Feb 24, 2012factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
Sep 25, 2002 to Jun 30, 2005factForm ADV

Dated events

No dated event names this entity yet.