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.

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 1, 2009earliest registration or exam on IAPD

Years in industry

17derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Aug 27, 2009

First registration

Sep 9, 2009

Dual registered

yes, broker-dealer

Other names

Alan Richmond

IAPD individual key

5652999

• Occurred

  Sep 6, 2024
  Advisor changed firm

  Ronald Alan Richmond left B. Riley Wealth Advisors, Inc. for Oppenheimer & Co. Inc. (registered 2024-09-11)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e1637845-2b4e-6bc9-535c-7ddd00087503

First observed

Sep 9, 2009

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.