Larry O. Risk
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.
Larry Offutt Risk, who also goes by Larry O Risk, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1987. Larry had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2004 - April 16, 2015
OPPENHEIMER & CO. INC.
May 24, 2004 - April 16, 2015
OPPENHEIMER & CO. INC.
November 25, 2003 - May 18, 2004
WAMU INVESTMENTS, INC.
November 25, 2003 - May 18, 2004
WAMU INVESTMENTS, INC.
February 2, 2001 - August 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 11, 2000 - August 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 11, 1999 - July 17, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 16, 1998 - October 22, 1999
PIPER SANDLER & CO.
September 3, 1997 - November 16, 1998
U.S. BANCORP INVESTMENTS, INC.
July 12, 1996 - September 3, 1997
U.S. BANCORP SECURITIES
January 1, 1996 - June 7, 1996
SEAFIRST INVESTMENT SERVICES, INC.
April 7, 1994 - March 27, 1995
U.S. BANCORP INVESTMENTS, INC.
June 8, 1993 - April 15, 1994
ATLAS SECURITIES, LLC
April 1, 1991 - January 18, 1993
CHARLES SCHWAB & CO., INC.
February 21, 1989 - October 29, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 6, 1988 - April 11, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 6, 1988 - April 11, 1989
PRUCO SECURITIES, LLC.
November 25, 1987 - February 18, 1988
SECURITIES USA, 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.
