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OPPENHEIMER & CO. INC.

NEW YORK, NY · CRD 249 · IAPD ↗ · oppenheimer.com · 212-668-8000

$36.71BRegulatory AUM
1219Advisory reps
2806Employees
0Clients
More than 500Planning clients
0Private funds
53States
104Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
June 2026 — OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 1 (103 -> 104).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2026 — OPPENHEIMER & CO. INC. shrank from 1295 to 1219 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
February 2026 — OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 3 (100 -> 103).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — OPPENHEIMER & CO. INC. added office(s): 117 -> 123 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
85
April 2025 — OPPENHEIMER & CO. INC. grew from 1126 to 1295 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
June 2024 — OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 1 (102 -> 103).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2024 — OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 5 (97 -> 102).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
85
April 2024 — OPPENHEIMER & CO. INC. grew from 1073 to 1126 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2024 — OPPENHEIMER & CO. INC.'s Item 11 disclosure-reporting entries rose by 3 (98 -> 101).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.