Charles G. Brudnicki
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.
Charles Gregory Brudnicki, who also goes by Greg Brudnicki, C Gregory, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 13 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2005 - December 19, 2005
OPPENHEIMER & CO. INC.
June 12, 2003 - December 7, 2004
WORLD INVESTMENTS, LLC
October 28, 2002 - December 6, 2002
METROPOLITAN LIFE INSURANCE COMPANY
October 28, 2002 - December 6, 2002
MSI FINANCIAL SERVICES, INC.
June 8, 2000 - May 15, 2001
HARRISDIRECT LLC
March 23, 2000 - May 15, 2000
EQUITABLE ADVISORS, LLC
July 15, 1997 - September 25, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 1996 - August 28, 1996
DINA SECURITIES, INC.
April 10, 1995 - August 5, 1996
FIRST INTERREGIONAL EQUITY CORP.
August 2, 1994 - March 14, 1995
SANDS BROTHERS & CO., LTD.
January 14, 1994 - April 11, 1994
SAPERSTON FINANCIAL INC.
November 16, 1992 - January 1, 1994
STRATTON OAKMONT INC.
July 2, 1992 - March 1, 1993
PRUCO SECURITIES, LLC.
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/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 | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
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 |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
