Alan Joshua Sokol

Oppenheimer & CO. INC.

37 Years of Experience

1 DisclosureBroker

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

100 Mill Plain Road, Suite 2C-2, Danbury, CT, 06811

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History

Regulatory History (1)

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Customer Dispute

May 2005

Closed-No Action

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Employment History

Current Registrations

Oppenheimer & CO. INC.

November 2005 - Present · 20 yrs 3 mos

Oppenheimer & CO. INC.Broker

July 2005 - Present · 20 yrs 7 mos

Previous Registrations

A. G. Edwards & Sons, INC.Broker

June 1990 - August 2005 · 15 yrs 2 mos

Smith Barney, Harris Upham & CO., IncorporatedBroker

May 1989 - June 1990 · 1 yr 1 mo

Drexel Burnham Lambert IncorporatedBroker

August 1988 - May 1989 · 9 mos

State Registrations31 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.