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Paul W. Martens

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CRD#: 1258294
PM

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.

Paul William Martens was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 21, 2011 - February 16, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
SAN DIEGO, CA
Past

January 11, 2011 - February 16, 2016

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
SAN DIEGO, CA
Past

July 12, 2010 - January 6, 2011

O'REILLY WEALTH ADVISORS

RIA
CRD#: 141789
CARLSBAD, CA
Past

September 23, 1991 - May 6, 1992

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
Past

September 6, 1990 - January 2, 1991

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
Past

October 2, 1989 - September 14, 1990

J. ALEXANDER SECURITIES, INC.

BD
CRD#: 7809
Past

April 18, 1984 - October 2, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OPPENHEIMER & CO. INC.
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/26/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/9/2010
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/2011
General Securities Representative Examination

Current Firm

OPPENHEIMER & CO. INC.
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
85 Broad Street 22nd Floor, New York, NY 10004
Mailing Address
85 Broad Street 22nd Floor, Ny, NY 10004
Phone number
(212) 668-8000
Established
New York since 12/23/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,883

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)
OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
VINER FINANCE INC.PARENT CO.
CASSIDY, THOMAS EDWARDMANAGING DIRECTOR4502955
GIORDANO, PETER JOHNMANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER2921308
HARRINGTON, EDWARD PATRICKEXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES2566682
LOWENTHAL, ALBERT GRINSFELDEREXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L313519
LOWENTHAL, ROBERT STEVENCEO-PRESIDENT-DIRECTOR1639913
MCNAMARA, DENNIS PATRICKE.V.P./CLO/SECRETARY2938486
MOLOKIE JR, LEON EEXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER1743402
VALENTINO, DOMINIC THOMASCHIEF COMPLIANCE OFFICER6940515
WATKINS, BRAD MICHAELDIRECTOR-EXECUTIVE VICE PRESIDENT-CFO6319251

Regulatory assets under management

Total Number of Accounts37,605
AUM (Assets Under Management)$ 32,418,994,154

Disclosures

Regulatory Event102
Civil Event1
Arbitration180
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
10/25/2023
Cover Page
Report
02/24/2023
Cover Page
Report

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.

Company Information

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CRD#: 249

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