Carl K. Oppenheimer

OPPENHEIMER & CLOSE

New York, NY 10019-2303

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CRD#: 3139451

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Kirby Oppenheimer's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 12, 2019 - Present

OPPENHEIMER & CLOSE, INC.

Office #1: 119 W 57th Street Suite 1515, New York, NY 10019-2303

RIA

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.

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".

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)

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)

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: 3/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 10/27/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/21/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/4/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/30/2007

Registered Options Principal Examination

Principal/Supervisory Exam

Series 28

Date: 3/26/2007

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/4/2006

General Securities Principal Examination

Current Firm

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)

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

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JULY 2025 FORM ADV PART 2 (7/30/2025)

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	Cover Page	Report
07/29/2024	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.

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Carl K. Oppenheimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Kirby Oppenheimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CLOSE, INC.

OPPENHEIMER & CLOSE, INC.

Primary Firm SEC Registration

OPPENHEIMER & CLOSE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2008

Series 63

Date: 8/17/2005

Series 55

Date: 10/27/2005

Series 7

Date: 6/21/2005

Series 53

Date: 4/4/2008

Series 4

Date: 8/30/2007

Series 28

Date: 3/26/2007

Series 24

Date: 3/4/2006

Current Firm

OPPENHEIMER & CLOSE, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CLOSE, INC.

TRUST BUT VERIFY

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