Jody L. Pedriana
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.
Jody Lynn Pedriana was a registered financial professional .
Jody is a previously registered financial professional and started their career in finance in 1993. Jody had worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2015 - December 8, 2023
OPPENHEIMER & CO. INC.
October 23, 2015 - December 8, 2023
OPPENHEIMER & CO. INC.
March 12, 2012 - October 19, 2015
JANNEY MONTGOMERY SCOTT LLC
March 8, 2012 - October 19, 2015
JANNEY MONTGOMERY SCOTT LLC
June 20, 2008 - March 14, 2012
OPPENHEIMER & CO. INC.
June 16, 2008 - March 14, 2012
OPPENHEIMER & CO. INC.
January 20, 2005 - June 5, 2008
J.P. MORGAN SECURITIES LLC
January 20, 2005 - June 5, 2008
J.P. MORGAN SECURITIES LLC
February 27, 2004 - January 19, 2005
A. G. EDWARDS & SONS, INC.
February 27, 2004 - January 19, 2005
A. G. EDWARDS & SONS, INC.
February 7, 2003 - March 11, 2004
UBS FINANCIAL SERVICES INC.
May 20, 1996 - March 11, 2004
UBS FINANCIAL SERVICES INC.
December 20, 1995 - April 25, 1996
CITIGROUP GLOBAL MARKETS INC.
October 21, 1993 - December 10, 1993
CHATFIELD DEAN & CO., 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 7TO
Date: 1/2/2023
General Securities Representative 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.
