Paul Weinberg
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 Weinberg was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1986. Paul had worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2015 - July 30, 2021
OPPENHEIMER & CO. INC.
January 13, 2015 - July 30, 2021
OPPENHEIMER & CO. INC.
February 12, 2014 - August 15, 2014
REINHART PARTNERS, LLC
April 28, 2009 - August 19, 2013
FORESIDE FUNDS DISTRIBUTORS LLC
April 9, 2009 - February 7, 2014
WHV INVESTMENTS, INC.
February 1, 2008 - March 6, 2009
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
May 15, 2007 - February 1, 2008
ALPS DISTRIBUTORS, INC.
February 1, 2007 - March 12, 2009
CLEARARC CAPITAL, INC.
February 27, 2006 - May 11, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
June 14, 2004 - October 14, 2005
VICTORY CAPITAL SERVICES, INC.
November 2, 1994 - October 10, 2005
VICTORY CAPITAL MANAGEMENT INC.
July 28, 1992 - March 30, 1994
WELLS FARGO CLEARING SERVICES, LLC
October 30, 1989 - August 11, 1992
PRUDENTIAL EQUITY GROUP, LLC
October 22, 1986 - October 21, 1989
THOMSON MCKINNON SECURITIES INC.
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
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.
