DB
Dogan Baruh
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CRD#: 3069255
DB
Professional summary
Dogan Baruh was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dogan is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Dogan had worked at 2 firms, which includes OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP..
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
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®
NoneExperience
Past
January 3, 2003 - July 29, 2004
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
October 12, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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".
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
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)
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.
