Jeffrey S. Fisher
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Scott Fisher was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1984. Jeffrey had worked at 13 firms and has passed the Series 65, Series 63, Series 15, Series 7, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2010 - March 2, 2012
OPPENHEIMER & CO. INC.
August 11, 2010 - March 2, 2012
OPPENHEIMER & CO. INC.
February 3, 2009 - August 13, 2010
UBS FINANCIAL SERVICES INC.
February 3, 2009 - August 13, 2010
UBS FINANCIAL SERVICES INC.
April 21, 2005 - August 28, 2007
ADVANCED EQUITIES, INC.
April 21, 2005 - August 28, 2007
ADVANCED EQUITIES, INC.
March 1, 2001 - April 19, 2005
BANC ONE SECURITIES CORPORATION
March 1, 2001 - April 19, 2005
BANC ONE SECURITIES CORPORATION
July 28, 1999 - February 1, 2002
BEMOS INVESTMENT ADVISORS, L.L.C.
September 18, 1998 - August 19, 1999
AUGMENT SECURITIES INC.
November 20, 1997 - March 25, 1998
SBC WARBURG DILLON READ INC.
January 16, 1995 - July 17, 1997
J.P. MORGAN SECURITIES LLC
November 10, 1992 - January 10, 1995
SALOMON BROTHERS MUNICIPALS INC
May 13, 1991 - January 10, 1995
SALOMON BROTHERS INC.
May 16, 1990 - April 25, 1991
CIBC WORLD MARKETS CORP.
May 9, 1989 - June 7, 1990
LEHMAN BROTHERS INC.
February 3, 1984 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/28/1988
Foreign Currency Options ExaminationSeries 8
Date: 8/8/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
