Alan Robert Riffle

Oppenheimer & CO. INC.

36 Years of Experience

2 DisclosuresBrokerSells Insurance

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

711 Louisiana Street, 15th Floor, Houston, TX, 77002

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Employment Separation After Allegations

October 1993

Customer Dispute

April 1993

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Alan is co-trustee for several trusts, including a life insurance trust, requiring minimal time commitment overall. He is also a board member at Gold Country Club, dedicating minimal time and no time during security trading hours.

Employment History

Current Registrations

Oppenheimer & CO. INC.

April 2009 - Present · 16 yrs 10 mos

Oppenheimer & CO. INC.Broker

March 2009 - Present · 16 yrs 11 mos

Previous Registrations

Stanford Group Company

January 2007 - March 2009 · 2 yrs 2 mos

Stanford Group CompanyBroker

January 2007 - March 2009 · 2 yrs 2 mos

Morgan Stanley

September 1999 - January 2007 · 7 yrs 4 mos

Morgan Stanley Dw INC.Broker

September 1999 - January 2007 · 7 yrs 4 mos

Oppenheimer & CO., INC.Broker

April 1995 - April 1995 · 0 mos

Cibc World MarketsBroker

March 1995 - September 1999 · 4 yrs 6 mos

Commonwealth AssociatesBroker

October 1993 - March 1995 · 1 yr 5 mos

Lehman Brothers INC.Broker

August 1989 - November 1993 · 4 yrs 3 mos

State Registrations17 states

AZCACODEFLILINMDNCNJNMNVNYOHPATXVA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.