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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

GAIL ANN LITCHFIELD

Advisor at OPPENHEIMER & CO. INC.

SADDLE BROOK, NJ

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Search this name across graphsid dfx:ria:db2d64e8-ec10-4c28-76c2-e5734935d393

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 10, 2007 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: Oct 8, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 8, 2007
First registration: Oct 10, 2007
Dual registered: yes, broker-dealer
Other names: GAIL ANN SULLIVAN|Gail Ann Litchfield|GAIL LITCHFIELD|GAIL A LITCHFIELD
IAPD individual key: 2020344

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	May 1, 2025	n/a	yes	SADDLE BROOK, NJ	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jun 28, 2023	Dec 12, 2023	no	HACKENSACK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 20, 2021	Jun 1, 2023	no	PARAMUS, NJ\|PARAMUS, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 15, 2021	no	Paramus, NJ	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Mar 23, 2009	Jun 1, 2009	no	RIDGEWOOD, NJ	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 10, 2007	Mar 4, 2009	no	HACKENSACK, NJ\|PARAMUS, NJ	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
WELLS FARGO ADVISORS	OPPENHEIMER & CO. INC.	Dec 12, 2023	May 1, 2025	506	Firm change after gap	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jun 1, 2023	Jun 28, 2023	27	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 15, 2021	Sep 20, 2021	5	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY & CO. LLC	Mar 4, 2009	Mar 23, 2009	19	Firm change	Other

Relationships

Registered with (6)

→ OPPENHEIMER & CO. INC.Registered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 28, 2023 to Dec 12, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 20, 2021 to Jun 1, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 15, 2021factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Mar 23, 2009 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 10, 2007 to Mar 4, 2009factForm ADV

Dated events

Occurred
Dec 12, 2023
Advisor changed firm
Gail Ann Litchfield left Wells Fargo Advisors for Oppenheimer & Co. Inc. (registered 2025-05-01)
Form ADVobserved 5 days ago
Occurred
Jun 1, 2023
Advisor changed firm
Gail Ann Litchfield left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2023-06-28)
Form ADVobserved 5 days ago