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
Dianne Bartol Scott	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Mar 5, 2007	Mar 2, 2007
Frank Thomas Winters	Oppenheimer & Co. Inc. other	Raymond James Financial Services, Inc. unclassified	Other	Mar 1, 2007	Mar 23, 2007
Lee Samson	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Feb 21, 2007	Feb 16, 2007
Julio Alejandro Guemes	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Feb 13, 2007	Feb 8, 2007
Bruce Martin Tanis	Oppenheimer & Co. Inc. other	Morgan Stanley wirehouse	Other	Jan 16, 2007	May 18, 2020 (4871 d)
Peter Jeremy Sarner	Oppenheimer & Co. Inc. other	B. Riley Wealth Advisors, Inc. other	Other	Jan 16, 2007	Apr 16, 2013 (2282 d)
Nicholas Joseph Vertucci	Oppenheimer & Co. Inc. other	Morgan Stanley wirehouse	Other	Jan 16, 2007	May 21, 2020 (4874 d)
Joseph Thomas Fishel	Oppenheimer & Co. Inc. other	Morgan Stanley Dw Inc. unclassified	Other	Jan 10, 2007	Jan 23, 2007
Stuart Conley	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Dec 4, 2006	Dec 1, 2006
Richard Michael Mcdowell	Oppenheimer & Co. Inc. other	Raymond James & Associates, Inc. national BD	Other	Dec 1, 2006	Jan 26, 2007 (56 d)
David Seth Helman	Oppenheimer & Co. Inc. other	Banc Of America Investment Services, Inc. unclassified	Other	Dec 1, 2006	Dec 1, 2006
Laura Alisa Pomeroy	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 13, 2006	Dec 18, 2006 (35 d)
Jonathan Peter Kokolakis	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Nov 9, 2006	Nov 7, 2006
Jeffrey Dwight Brandeen	Oppenheimer & Co. Inc. other	Western International Securities other	Other	Oct 17, 2006	Oct 27, 2006
Rasheeda S Zamudio	Oppenheimer & Co. Inc. other	Chase Investment Services Corp. other	Other	Oct 5, 2006	Nov 28, 2006 (54 d)
Kevin M. Grieve	Oppenheimer & Co. Inc. other	Brandes Investment Partners, LP other	Other	Sep 6, 2006	Jan 7, 2020 (4871 d)
Michael Keith Lauterbach	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Aug 30, 2006	Aug 16, 2006
Joshua Robert Barg	Oppenheimer & Co. Inc. other	Aegis Capital Corp. other	Other	Aug 30, 2006	Aug 17, 2006
Joseph Youngblood Calhoun	Oppenheimer & Co. Inc. other	Alhambra Investment Management LLC other	Other	Jul 18, 2006	Jun 30, 2006
John Edward Rothe	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jul 18, 2006	Apr 15, 2003
Joseph Michael Costello	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 5, 2006	Aug 22, 2006 (48 d)
Michael John Passage	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jun 1, 2006	Apr 15, 2003
Gregory Winston Eknoyan	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	May 15, 2006	Jun 12, 2006
Richard Brian Coloni	Oppenheimer & Co. Inc. other	Investors Capital Advisory other	Other	Apr 28, 2006	May 22, 2006
Leila Fayaz Larijani	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Apr 10, 2006	Jun 26, 2006 (77 d)
Mitchell Owen Goldberg	Oppenheimer & Co. Inc. other	Next Financial Group, Inc. other	Other	Dec 7, 2005	Jun 7, 2013 (2739 d)
Leon Arthur Scheffler	Oppenheimer & Co. Inc. other	Wells Fargo Advisors wirehouse	Other	Dec 5, 2005	Dec 2, 2005
Monte Ivan Resnick	Oppenheimer & Co. Inc. other	Raymond James & Associates, Inc. national BD	Other	Oct 4, 2005	Nov 28, 2005 (55 d)
Patrick Gill	Oppenheimer & Co. Inc. other	Lasalle St. Investment Advisors, L.L.C. other	Other	Sep 27, 2005	May 1, 2006 (216 d)
Lance Paul Eaton	Oppenheimer & Co. Inc. other	Citicorp Investment Services unclassified	Other	Jul 21, 2005	Jan 18, 2006 (181 d)
Scot James Erwin	Oppenheimer & Co. Inc. other	Morgan Stanley Dw Inc. unclassified	Other	May 6, 2005	May 6, 2005
Mark Andrew Jones	Oppenheimer & Co. Inc. other	Banc Of America Investment Services, Inc. unclassified	Other	Mar 30, 2005	Aug 28, 2006 (516 d)
Thomas Edward Gummersbach	Oppenheimer & Co. Inc. other	Huntleigh Advisors, Inc. other	Other	Mar 3, 2005	Mar 4, 2005
Najla Hisham Arekat	Oppenheimer & Co. Inc. other	Global Crown Capital, LLC unclassified	Other	Dec 10, 2004	Dec 18, 2004
Thomas Edward Corrigan	Oppenheimer & Co. Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Nov 23, 2004	Dec 1, 2004
Robert Allen Goodwin	Oppenheimer & Co. Inc. other	Ameriprise Advisor Services, Inc. unclassified	Other	Nov 22, 2004	Aug 17, 2007 (998 d)
Anthony Vito Demarco	Oppenheimer & Co. Inc. other	Quick & Reilly, Inc. unclassified	Other	Sep 8, 2004	Aug 18, 2004
Russell John Matthews	Oppenheimer & Co. Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Aug 18, 2004	Aug 13, 2004
John Edward Gunther	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Aug 4, 2004	Apr 23, 2003
John Christian Wilbourne	Oppenheimer & Co. Inc. other	Wells Fargo Investments, LLC unclassified	Other	Jul 12, 2004	Jul 12, 2004
Jean-Luc Francois Nouzille	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jun 9, 2004	Apr 1, 2003
David Rex Fleer	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Jun 8, 2004	Apr 1, 2003
David Louis Alper	Oppenheimer & Co. Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jun 1, 2004	Jun 25, 2004
Amy Lee Birtcher	Oppenheimer & Co. Inc. other	Transamerica Retirement Advisors, LLC other	Other	May 6, 2004	Jul 28, 2017 (4831 d)
Janet Margaret Barnes	Oppenheimer & Co. Inc. other	Thomas Weisel Partners LLC other	Other	Mar 19, 2004	Apr 12, 2004
Gregory S. Farber	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Feb 26, 2004	Apr 1, 2003
Steven Robert Cowley	Oppenheimer & Co. Inc. other	One Capital Management, LLC other	Other	Jan 15, 2004	Jan 21, 2004
Owen Ralph Pardo	Oppenheimer & Co. Inc. other	A. G. Edwards & Sons, Inc. unclassified	Other	Dec 15, 2003	Dec 15, 2003
Edgar Henry Bachrach	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Nov 17, 2003	Nov 14, 2003
B. Blaine Lourd	Oppenheimer & Co. Inc. other	A. G. Edwards & Sons, Inc. unclassified	Other	Oct 2, 2003	Sep 26, 2003
Betsy L Bliss	Oppenheimer & Co. Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Sep 29, 2003	Sep 29, 2003
Howard Robert Klieger	Oppenheimer & Co. Inc. other	RBC Capital Markets, LLC national BD	Other	Sep 16, 2003	Sep 15, 2003
William David Leven	Oppenheimer & Co. Inc. other	UBS Financial Services Inc. wirehouse	Other	Sep 15, 2003	Sep 12, 2003
Geoffrey Scot Stewart	Oppenheimer & Co. Inc. other	Oppenheimer Asset Management other	Other	Aug 19, 2003	Apr 2, 2003
Geoffrey Chausar Schiciano	Oppenheimer & Co. Inc. other	Lehman Brothers Inc. unclassified	Other	Jun 16, 2003	Jun 4, 2004 (354 d)
Daniel Louis Klein	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Jun 13, 2003	Jun 11, 2003
Douglas Keys Gapper	Oppenheimer & Co. Inc. other	J.P. Morgan Securities LLC wirehouse	Other	May 20, 2003	May 19, 2003
Andrew Barrett Price	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Apr 9, 2003	Apr 7, 2003
Howard Alan Blitz	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Apr 1, 2003	Mar 28, 2003
Andrew Benjamin Basch	Oppenheimer & Co. Inc. other	Citigroup Global Markets Inc. other	Other	Apr 1, 2003	Mar 28, 2003

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1,085 moves match.