OPPENHEIMER ASSET MANAGEMENT INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 105559). Regulatory assets under management: $21.3B.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Charities, Corporations, Investment cos.
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| Name | Role | Location |
|---|---|---|
| Bryan Edward McKigney | DIRECTOR; PRESIDENT/DIRECTOR | New York, NY |
| Albert Grinsfelder Lowenthal | CHAIRMAN/CEO/DIRECTOR; EXECUTIVE CHAIRMAN/DIRECTOR; OWNER | — |
| Dennis Patrick Mcnamara | SECRETARY/DIRECTOR | — |
| Robert Steven Lowenthal | CEO/DIRECTOR; DIRECTOR | — |
| Mark Ercole Montuschi | CHIEF OPERATIONS OFFICER | — |
| Brian Alan Roth | IA-CCO | — |
| Brad Michael Watkins | SENIOR VICE PRESIDENT-CFO | — |
| Peter Michael Cadaret | PRESIDENT | — |
| Dominic Thomas Valentino | GLOBAL COMPLIANCE OFFICER; MANAGING DIRECTOR - COMPLIANCE | — |
| Svetlana Milina | CHIEF LEGAL OFFICER | New York, NY |
| Deborah Kaback | CHIEF LEGAL OFFICER | New York, NY |
| Teresa Carol Incao | INTERIM COMPLIANCE OFFICER | — |
| Douglas Thornley Siegel | GLOBAL COMPLIANCE OFFICER | — |
| ROBERTS ELAINE KELLS | DIRECTOR/CFO; DIRECTOR/TREASURER | — |
| LOWENTHAL ALBERT GRINSFELDER | CHAIRMAN/CEO; CHMN/DIR/CEO/SROP-OWNS 100% OF PHASE II FINANCIAL; OWNER | — |
| MCKIGNEY BRYAN EDWARD | CHIEF OPERATING OFFICER; DIRECTOR OF OPERATIONS; PRESIDENT (+1 more) | — |
| KABACK DEBORAH | CHIEF LEGAL OFFICER | — |
| MCNAMARA DENNIS PATRICK | SECRETARY/DIRECTOR | — |
| BEACH STEPHEN CHARLES | CHIEF COMPLIANCE OFFICER | — |
| ROBINSON THOMAS ROBERT | PRESIDENT | — |
| ROBERTS OLGA | CONTROLS 100% OF ELKA ESTATES | — |
| OUGHTRED ANGUS WINN | DIRECTOR/SECRETARY | — |
| HOLEMAN ALLEN BERNARD | CHIEF COMPLIANCE OFFICER | — |
| ALFANO JEFFREY | CFO | — |
| DUFFY KEVIN THOMAS | INTERIM CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-03-24 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT VIOLATED NYSE ARCA RULE 11.1(B). THE FINDINGS STATED THAT THE FIRM FAILED TO OBTAIN THE MOST ADVANTAGEOUS TERMS FOR A CUSTOMER OPTIONS ORDER, AND ALSO FAILED TO OBTAIN THE AGREEMENT OF… | Final | $90K |
| 2019-03-11 | regulatory | SEC ADMIN RELEASE IA 5137, MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST OPPENHEIMER & CO. INC. AND ITS AFFILIATE OPPENHEIMER ASSET MANAGEMENT INC. (TOGETHER, "R… | Final | — |
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