Carl Kirby Oppenheimer
Professional Summary
Carl Kirby Oppenheimer is a registered financial advisor currently at OPPENHEIMER & CLOSE, INC. located in New York, New York. Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Carl has worked at 1 firm and has passed the Series 65, Series 63, Series 55, Series 7, Series 53, Series 4, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
OPPENHEIMER & ASSOCIATES, INC. | OPPENHEIMER + CLOSE, LLC | OPPENHEIMER & CLOSE, INC.
Contact Information
Main Address
119 W 57th Street Suite 1515, New York, NY 10019-2303Phone Number
(212) 489-7527Established
New York since 04/19/1984Firm Type
CorporationFiscal Year End
December# of Employees
5SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPPENHEIMER, CARL KIRBY | PRESIDENT, CEO, TREASURER, DIRECTOR | 3139451 |
| OPPENHEIMER, MARY CLOSE | SHAREHOLDER, DIRECTOR | 3139452 |
| OPPENHEIMER, PHILIP VICTOR | SHAREHOLDER, DIRECTOR | 353146 |
| CLOSE, MARK HEALY | SHAREHOLDER | 2414261 |
| KOLLER, JOHN JAY | SHAREHOLDER | 2400754 |
| POWELL, GABRIELA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, SECRETARY | 3220216 |
Regulatory Assets Under Management
Total Number of Accounts
127AUM (Assets Under Management)
$93,012,013Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | Cover Page | Report |
| 07/29/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
OPPENHEIMER & ASSOCIATES, INC. | OPPENHEIMER + CLOSE, LLC | OPPENHEIMER & CLOSE, INC.
State Registrations and Notice Filings
(7/29/2021)
(6/12/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 2005Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Mar 2007About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Carl Kirby Oppenheimer's CRS (Customer Relationship Summary).
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