Theodore H. Korff

Some features on this profile are disabled

CRD#: 1989098

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.

Theodore H Korff, who also goes by Ted Korff, Theodore Korff, was a registered financial professional .

Theodore is a previously registered financial professional and started their career in finance in 1993. Theodore had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ted Korff | Theodore Korff

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

January 5, 2021 - July 2, 2021

OPPENHEIMER & CO. INC.

CRD#: 249

FORT LAUDERDALE, FL

Past

October 24, 2018 - March 11, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

FT. LAUDERDALE, FL

Past

September 27, 2017 - May 8, 2018

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901

Boca Raton, FL

Past

August 19, 2015 - July 20, 2017

VINING-SPARKS IBG, LLC

CRD#: 27502

FORT LAUDERDALE, FL

Past

August 5, 2014 - July 22, 2015

AEGIS CAPITAL CORP.

CRD#: 15007

MIAMI, FL

Past

June 3, 2013 - July 3, 2014

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

MIAMI BEACH, FL

Past

July 21, 2010 - April 16, 2013

HAPOALIM SECURITIES USA, INC.

CRD#: 266

AVENTURA, FL

Past

November 4, 2005 - July 1, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 4, 2005 - November 3, 2005

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

February 19, 2004 - March 28, 2005

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

January 7, 2000 - March 9, 2004

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

June 1, 1993 - January 31, 2000

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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.

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

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/1993

General Securities Representative Examination

Current Firm

OPPENHEIMER & CO. INC.

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

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

FINRA licenses (53 States and Territories)

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

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	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Theodore H. Korff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

TRIBAL CAPITAL MARKETS, LLC

VINING-SPARKS IBG, LLC

AEGIS CAPITAL CORP.

SEAPORT GLOBAL SECURITIES LLC

HAPOALIM SECURITIES USA, INC.

OPPENHEIMER & CO. INC.

RAFFERTY CAPITAL MARKETS, LLC

CANTOR FITZGERALD & CO.

ADVEST, INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/1993

SIE

Date: 5/8/2018

Series 7

Date: 5/28/1993

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

Similar Advisors