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RH

Russell O. Hodder

Some features on this profile are disabled
CRD#: 2179109
RH

Professional summary

Russell Orville Hodder JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Russell is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Russell had worked at 8 firms, which includes OPPENHEIMER & CO. INC., FIRST OF MICHIGAN CORPORATION, FIFTH THIRD SECURITIES INC., AMERIPRISE ADVISOR SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Russell Orville Hodder

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 1, 1999 - September 9, 2003

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 15, 1998 - January 1, 1999

FIRST OF MICHIGAN CORPORATION

BD
CRD#: 311
DETROIT, MI
Past

May 23, 1997 - June 22, 1998

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

December 10, 1993 - June 4, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

April 8, 1992 - December 10, 1993

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

April 8, 1992 - December 10, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 22, 1992 - March 19, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

January 22, 1992 - March 19, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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: 11/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/20/1992
Investment Company Products/Variable Contracts 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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