TrueAdvisor
TrueAdvisor
AS
CFA
AS
CFA

Adam Richard Sands

Oppenheimer & CO. INC.
15 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

Get directions

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.

Learn about disclosures →
Employment History
Current Registrations
Oppenheimer & CO. INC.
July 2023 - Present · 2 yrs 7 mos
Oppenheimer & CO. INC.Broker
July 2023 - Present · 2 yrs 7 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
May 2021 - September 2021 · 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
March 2019 - September 2021 · 2 yrs 6 mos
First Empire Securities, INC.Broker
November 2017 - March 2019 · 1 yr 4 mos
Incapital LLCBroker
March 2017 - November 2017 · 8 mos
Kimberlite Advisors, LLCBroker
August 2015 - February 2017 · 1 yr 6 mos
Kpmg Corporate Finance LLCBroker
March 2014 - July 2015 · 1 yr 4 mos
Scott-Macon Securities, INC.Broker
October 2013 - March 2014 · 5 mos
D.A. Davidson & CO.Broker
February 2012 - April 2013 · 1 yr 2 mos
Mcgladrey Capital Markets, LLCBroker
December 2010 - March 2012 · 1 yr 3 mos
Grubb & Ellis Securities, INC.Broker
February 2008 - November 2010 · 2 yrs 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.