Michael J. Oppenheim

Some features on this profile are disabled

CRD#: 3021013

Professional summary

Michael Jeffrey Oppenheim was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Michael had worked at 5 firms, which includes J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael J Oppenheim

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

October 1, 2012 - April 16, 2015

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

October 1, 2012 - April 16, 2015

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 28, 2004 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

May 26, 2004 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Past

February 27, 2004 - May 27, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK, NY

Past

February 20, 2004 - May 27, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 8, 2002 - February 17, 2004

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

February 15, 2002 - February 17, 2004

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

May 26, 1999 - July 26, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 3, 1998 - May 7, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

J.P. MORGAN SECURITIES LLC

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA

Registered Investment Advisory firm - SEC (4/3/1965 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

IAR

Series 65

Date: 10/3/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/21/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/22/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/2/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

J.P. MORGAN SECURITIES LLC

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA

Registered Investment Advisory firm - SEC (4/3/1965 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

270 Park Avenue, New York, NY 10017

Mailing Address

1111 Polaris Pkwy Floor 3f, Columbus, OH 43240

Phone number

(212) 272-2000

Established

Delaware since 08/12/1985

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

8,327

SEC notice filing (52 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

INSTITUTIONAL CONSULTING SERVICES (2/5/2026)

DEFINED CONTRIBUTION PLAN CONSULTING SERVICES PROGRAM BROCHURE (11/5/2025)

JPMORGAN GUIDED ANNUITY PROGRAM (11/5/2025)

J.P. MORGAN PERSONAL ADVISORS PROGRAM (11/5/2025)

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE J.P. MORGAN MANAGED INVESTMENT SERVICES PROGRAM (11/5/2025)

WRAP FEE PROGRAM BROCHURE (CWM) (11/5/2025)

WRAP FEE PROGRAM BROCHURE (JPMA) (11/5/2025)

Direct owners and executive officers

Name	Position	CRD#
J.P. MORGAN BROKER-DEALER HOLDINGS INC.	MEMBER
AIDELSON, DAVID	CHIEF LEGAL OFFICER	7884539
ALAOUI ABDALLAOUI, RACHID	CEO, CHAIR, ELECTED MANAGER	7122597
BISESI, BRIAN J	ELECTED MANAGER	3090554
CHOI, MICHAEL	CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER	6597789
COLAVITA, MOLLIE	ELECTED MANAGER	1875615
COLLINS, JAMES MICHAEL	CHIEF FINANCIAL OFFICER	2725065
DEMPSEY, PATRICK PAUL	TREASURER	2830362
ENGLANDER, ADAM F	ELECTED MANAGER	2941059
FOLEY, KEVIN J	ELECTED MANAGER	4012244
KLION, ROGER	CHIEF OPERATING OFFICER	5082261
MCCRUM, CARRIE	ELECTED MANAGER	7675791
SABLE, MATTHEW D	ELECTED MANAGER	4835849
TEPPER, ERIC D.	ELECTED MANAGER	2242377
VIENICK, PAUL	ELECTED MANAGER	2212982
VILLWOCK, DAVID S	CHIEF COMPLIANCE OFFICER - BROKER DEALER	8071637

Regulatory assets under management

Total Number of Accounts	1,055,400
AUM (Assets Under Management)	$ 352,605,441,286

Disclosures

Regulatory Event	393
Civil Event	9
Arbitration	144

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
10/25/2024	Cover Page	Report
11/27/2023	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

Steven Barnes

BARNES WEALTH MANAGEMENT GROUP

IAR

BAKERSFIELD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Oppenheim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2002

Series 66

Date: 5/21/1998

SIE

Date: 4/16/2015

Series 7

Date: 4/2/1998

Series 10

Date: 2/22/2006

Series 9

Date: 3/2/2004

Current Firm

J.P. MORGAN SECURITIES LLC

Contact information

SEC notice filing (52 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

J.P. MORGAN SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors