Thomas L. Fritzlen
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.
Thomas Leo Fritzlen JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 1, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2003 - January 5, 2017
OPPENHEIMER & CO. INC.
January 3, 2003 - January 5, 2017
OPPENHEIMER & CO. INC.
August 16, 1995 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
January 21, 1987 - January 3, 2003
CIBC WORLD MARKETS CORP.
February 6, 1986 - May 16, 1986
VINCENT, THOMAS & ASSOCIATES, INC.
May 23, 1985 - January 7, 1986
DE LAUREAL, MUNROE SECURITIES CORPORATION
December 2, 1983 - May 6, 1985
AMERICAN COMPLETION SECURITIES,INC.
March 15, 1983 - January 6, 1986
JOHN P. HOLMES INVESTMENTS, INC.
July 20, 1982 - May 19, 1983
CAMOIL SECURITIES, INC.
September 9, 1975 - May 15, 1981
CIBC WORLD MARKETS CORP.
February 13, 1975 - September 27, 1975
REYNOLDS SECURITIES, INC.
August 7, 1972 - February 27, 1975
CITIGROUP GLOBAL MARKETS INC.
March 2, 1970 - March 3, 1971
EXECUTIVES' INDEPENDENT INVESTMENT COMPANY 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
Series 1
Date: 2/21/1970
Registered Representative ExaminationSeries 12
Date: 3/20/1978
NYSE Branch Manager ExaminationCurrent 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.
