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Alan Derose

Oppenheimer & CO. INC.
40 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
1106 advisors
Number of Clients
37,605 clients
Average Client Portfolio
$862K average
Assets Under Management
$32.4B

Fee Structure

Financial Planning:Investment management only
Minimum Annual Fee:$250

Location

85 Broad Street, 26th Flr, New York, NY, 10004

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Oppenheimer & CO. INC.
August 2018 - Present · 7 yrs 6 mos
Oppenheimer & CO. INC.
February 2009 - Present · 17 yrs
Oppenheimer & CO. INC.Broker
February 2009 - Present · 17 yrs
Previous Registrations
Cibc World Markets CORP.Broker
September 1993 - March 2007 · 13 yrs 6 mos
Morgan Stanley & CO., IncorporatedBroker
April 1992 - August 1993 · 1 yr 4 mos
Cs First Boston CorporationBroker
June 1990 - March 1992 · 1 yr 9 mos
Bear, Stearns & CO. INC.Broker
August 1983 - June 1990 · 6 yrs 10 mos
State Registrations2 states
NJNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.