CO
Carl K. Oppenheimer
OPPENHEIMER & CLOSE
New York, NY 10019-2303
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CRD#: 3139451
CO
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
MR. OPPENHEIMER SERVES AS A MANAGING MEMBER OF OPPVEST, LLC (LOCATED AT 119 W 57th STREET, SUITE 1515. NEW YORK, NY 10019.) OPPVEST, LLC IS THE GENERAL PARTNER OF 3 INVESTMENT PARTNERSHIPS. OPPVEST, LLC IS AN INVESTMENT-RELATED BUSINESS. MR. OPPENHEIMER SERVES AS AN ANALYST AND PORTFOLIO MANAGER AND HAS HAD A RELATIONSHIP WITH THE BUSINESS SINCE 2005. MR. OPPENHEIMER DEVOTES APPROXIMATELY 150 HOURS PER MONTH TO OPPVEST, LLC OF WHICH APPROXIMATELY 100 ARE DURING TRADING HOURS. MR. OPPENHEIMER SERVES AS UNPAID BOARD MEMBER OF MALABAR INVESTMENTS, LLC (AN INDIA EQUITY MANAGER LOCATED AT 104 WEST 40TH STREET, 19TH FLOOR, NEW YORK, NY 10018) SINCE JULY 13, 2012. MALABAR INVESTMENTS, LLLC IS AN INVESTMENT-RELATED BUSINESS. HE SPENDS ABOUT TWO HOURS PER MONTH CONSULTING AND ADVISING THE MANAGING MEMBERS OF MALABAR INVESTMENTS, LLCOF WHICH MOST ARE DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Kirby Oppenheimer's CRS (Customer Relationship Summary).
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
Current
June 12, 2019 - Present
OPPENHEIMER & CLOSE, INC.
Office #1: 119 W 57th Street Suite 1515, New York, NY 10019-2303RIA
CRD#: 15168
New York, NY
Past
March 31, 2008 - October 1, 2013
OPPENHEIMER & CLOSE, INC.
RIA
CRD#: 15168
NEW YORK, NY
Past
June 22, 2005 - October 1, 2013
OPPENHEIMER & CLOSE, INC.
BD
CRD#: 15168
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".
O&
OPPENHEIMER & CLOSE, INC.
OPPENHEIMER & ASSOCIATES, INC. | OPPENHEIMER + CLOSE, LLC | OPPENHEIMER & CLOSE, INC.
CRD#: 15168 / SEC#: 801-34964, 8-31756
RIA
Registered Investment Advisory firm - SEC (8/10/1989 Approved)BD
Terminated by SEC on 11/29/2013
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(7/29/2021)
IAR
Texas(6/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 10/27/2005
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 3/26/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Current Firm
O&
OPPENHEIMER & CLOSE, INC.
OPPENHEIMER & ASSOCIATES, INC. | OPPENHEIMER + CLOSE, LLC | OPPENHEIMER & CLOSE, INC.
CRD#: 15168 / SEC#: 801-34964, 8-31756
RIA
Registered Investment Advisory firm - SEC (8/10/1989 Approved)BD
Terminated by SEC on 11/29/2013
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Contact information
Main Address
119 W 57th Street Suite 1515, New York, NY 10019-2303
Mailing Address
Phone number
(212) 489-7527
Established
New York since 04/19/1984
Firm type
Corporation
Fiscal year end
December
# of Employees
5
SEC notice filing (11 States and Territories)
Documents
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 | 127 |
| AUM (Assets Under Management) | $ 78,685,080 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 07/29/2024 |
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.
