DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Departures from Oppenheimer & Co. Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Andrew Paul Congleton	Oppenheimer & Co. Inc. other	Dominick & Dominick LLC other	Other	Feb 25, 2009	Feb 24, 2009
Cheryl Lucyann Smith	Oppenheimer & Co. Inc. other	Gunnallen Financial, Inc unclassified	Other	Feb 20, 2009	Mar 2, 2009
Andrew Michael Mallardi	Oppenheimer & Co. Inc. other	Td Ameritrade Investment Management, LLC other	Other	Feb 17, 2009	Feb 19, 2009
Girard James Mcspiritt	Oppenheimer & Co. Inc. other	Fidelity Personal And Workplace Advisors BD affiliated	Other	Feb 3, 2009	Jan 27, 2020 (4010 d)
Darrell Scott Rosenthal	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 3, 2009	Feb 3, 2009
Joel F Engelhardt	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 3, 2009	Jan 30, 2009
Douglas Charles Gast	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 20, 2009	Jan 20, 2009
Robert Douglas Gast	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 20, 2009	Jan 20, 2009
Teresa Rose Soppet	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jan 16, 2009	Apr 15, 2003
Brett Ian Goldstein	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jan 16, 2009	Jan 16, 2009
Joseph Adrian Motley	Oppenheimer & Co. Inc. other	Joseph Gunnar & Co., LLC other	Other	Dec 1, 2008	Dec 8, 2008
Keith E Nubel	Oppenheimer & Co. Inc. other	Scottrade Investment Management other	Other	Dec 1, 2008	Mar 29, 2017 (3040 d)
James Jordan Dodderidge	Oppenheimer & Co. Inc. other	Cresap, Inc. other	Other	Nov 4, 2008	Oct 27, 2010 (722 d)
Peter Elliot Hirsh	Oppenheimer & Co. Inc. other	Janney Montgomery Scott LLC other	Other	Nov 4, 2008	Oct 17, 2008
Ted Ross Emerson	Oppenheimer & Co. Inc. other	Ameriprise Advisor Services, Inc. unclassified	Other	Nov 4, 2008	Oct 22, 2008
Frank Schiro	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 27, 2008	Nov 17, 2008
James Ira Scheinberg	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Oct 16, 2008	Apr 15, 2003
Brant Jackson Griffin	Oppenheimer & Co. Inc. other	North Pier Fiduciary Management, LLC other	Other	Oct 16, 2008	Oct 14, 2008
Susan Lynn Esses	Oppenheimer & Co. Inc. other	Osaic Fa, Inc. other	Other	Oct 3, 2008	Nov 11, 2008 (39 d)
Roderick A Jones	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Oct 3, 2008	Oct 23, 2009 (385 d)
Lauralee Settles	Oppenheimer & Co. Inc. other	Nuveen Fund Advisors, LLC other	Other	Oct 3, 2008	Feb 13, 2009 (133 d)
Kelly Bernard Trevethan	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Sep 18, 2008	Apr 15, 2003
Kathleen Hogan Fanelli	Oppenheimer & Co. Inc. other	Girard Securities, Inc. other	Other	Sep 18, 2008	Dec 2, 2015 (2631 d)
Daniel Stanley Derisio	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Sep 2, 2008	Apr 15, 2003
Joseph C Adornato	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 30, 2008	Jul 22, 2008
John Joseph Infante	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Jul 2, 2008	Apr 7, 2023 (5392 d)
Louis Portnoy	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jul 2, 2008	Apr 15, 2003
Gary Keith Wideman	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	May 15, 2008	Apr 15, 2003
Raleigh Edward Kraft	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Apr 25, 2008	Apr 15, 2003
John Ward Conover	Oppenheimer & Co. Inc. other	Maxim Financial Advisors LLC other	Other	Apr 21, 2008	Mar 11, 2014 (2150 d)
Kevin Patrick Saia	Oppenheimer & Co. Inc. other	J P Turner & Company Capital Management, LLC other	Other	Feb 29, 2008	Feb 28, 2008
Christopher Cort	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Feb 19, 2008	Feb 27, 2008
Bradford Petersen Bagby	Oppenheimer & Co. Inc. other	Bagby Capital Management, LLC unclassified	Other	Feb 19, 2008	Mar 26, 2008 (36 d)
Philip James Fluegge	Oppenheimer & Co. Inc. other	Commonwealth Financial Network national BD	Other	Jan 22, 2008	Jul 20, 2010 (910 d)
Jason Yaworski	Oppenheimer & Co. Inc. other	Deutsche Bank Securities Inc. other	Other	Jan 3, 2008	Apr 23, 2008 (111 d)
Nicholas John Davy	Oppenheimer & Co. Inc. other	Hsbc Securities (USA) Inc. other	Other	Nov 9, 2007	Dec 6, 2007
Andrew Grabato	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 9, 2007	Dec 11, 2007 (32 d)
Gary George Peirce	Oppenheimer & Co. Inc. other	Banc Of America Investment Services, Inc. unclassified	Other	Nov 1, 2007	Nov 2, 2007
Hannah Leggesse	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Oct 16, 2007	Oct 24, 2007
Christopher Ronald Miller	Oppenheimer & Co. Inc. other	Lord, Abbett & Co. LLC other	Other	Oct 16, 2007	Jan 28, 2008 (104 d)
Kerry Eugene Wate	Oppenheimer & Co. Inc. other	Oppenheimer Investment Management LLC other	Other	Sep 17, 2007	Dec 9, 2005
Gustavo Fernandez	Oppenheimer & Co. Inc. other	Chase Investment Services Corp. other	Other	Sep 6, 2007	Sep 12, 2007
Steven Benny Restifo	Oppenheimer & Co. Inc. other	Stanford Group Company unclassified	Other	Aug 24, 2007	Aug 24, 2007
Dorian Lisa Waserman	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Aug 24, 2007	Nov 26, 2007 (94 d)
Matthew William Crafa	Oppenheimer & Co. Inc. other	Osaic Wealth, Inc. other	Other	Aug 7, 2007	Mar 24, 2011 (1325 d)
Gilbert Alan Millstein	Oppenheimer & Co. Inc. other	Janney Montgomery Scott LLC other	Other	Jul 5, 2007	Jun 22, 2007
James S Morner	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jul 5, 2007	Nov 26, 2007 (144 d)
Gregory James Hahn	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jun 28, 2007	Jan 24, 2007
Michael Lance Phillips	Oppenheimer & Co. Inc. other	Prospera Financial Services, Inc. other	Other	May 15, 2007	May 22, 2007
Dean Andrew Bahniuk	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	May 8, 2007	May 4, 2007
John Thomas Holland	Oppenheimer & Co. Inc. other	Morgan Stanley wirehouse	Other	May 1, 2007	Oct 15, 2015 (3089 d)
James Robert Phillips	Oppenheimer & Co. Inc. other	A. G. Edwards & Sons, Inc. unclassified	Other	May 1, 2007	Apr 20, 2007
Edward Michael Riberio	Oppenheimer & Co. Inc. other	RBC Capital Markets, LLC national BD	Other	Apr 23, 2007	Feb 5, 2020 (4671 d)
Meredith M Mckown	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Mar 27, 2007	May 2, 2007 (36 d)
Frederick Richard Warren	Oppenheimer & Co. Inc. other	Stifel Independent Advisors, LLC other	Other	Mar 26, 2007	Mar 19, 2007
Brian Joseph Dibrino	Oppenheimer & Co. Inc. other	Sii Investments, Inc. other	Other	Mar 12, 2007	Mar 2, 2007
Robert Micheal Stringer	Oppenheimer & Co. Inc. other	Morgan Stanley Dw Inc. unclassified	Other	Mar 9, 2007	Mar 2, 2007
Ryan Ying-Nam Cheng	Oppenheimer & Co. Inc. other	Morgan Stanley Dw Inc. unclassified	Other	Mar 9, 2007	Mar 2, 2007
Richard Lee Stein	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Mar 5, 2007	Mar 9, 2007
Anthony Christian Connor	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Mar 5, 2007	Feb 23, 2007

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1,085 moves match.