Maurice Gordon Stuffmann

Oppenheimer & CO. INC.

55 Years of Experience

3 DisclosuresBroker

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

Wells Fargo Tower, 201 Main Street, Suite 828, Fort Worth, TX, 76102

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History

Regulatory History (3)

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.

Customer Dispute

April 2020

Settled

Customer Dispute

March 2011

Settled

Customer Dispute

September 2001

Settled

View Full SEC Report How to Read Disclosures

Other Business Activities

Maurice owns mineral rights under his personal residence. He is also a co-trustee of the Stuffmann Family Trust, which holds investment assets and residences as part of estate planning.

Employment History

Current Registrations

Oppenheimer & CO. INC.

February 2011 - Present · 15 yrs

Oppenheimer Asset Management

April 2003 - Present · 22 yrs 10 mos

Oppenheimer & CO. INC.Broker

January 2003 - Present · 23 yrs 1 mo

Previous Registrations

Fahnestock Asset Management

January 2003 - April 2003 · 3 mos

Cibc World Markets CORP.

February 2002 - January 2003 · 11 mos

Cibc World Markets CORP.Broker

November 2001 - January 2003 · 1 yr 2 mos

J.P. Morgan Securities INC.Broker

February 2000 - November 2001 · 1 yr 9 mos

Hambrecht & Quist LLCBroker

December 1997 - February 2000 · 2 yrs 2 mos

Dabney/resnick/imperial, LLCBroker

September 1995 - December 1997 · 2 yrs 3 mos

Mitchum, Jones & Templeton, INC.Broker

January 1994 - September 1995 · 1 yr 8 mos

Sutro & CO. IncorporatedBroker

November 1989 - December 1993 · 4 yrs 1 mo

Wedbush Morgan Securities INC.Broker

November 1988 - November 1989 · 1 yr

Morgan, Olmstead, Kennedy & Gardner IncorporatedBroker

March 1984 - November 1989 · 5 yrs 8 mos

Sutro & CO. IncorporatedBroker

March 1970 - March 1984 · 14 yrs

State Registrations52 states

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AdvisorBrokerBoth

Exams

No exam information available for this advisor.