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JO

John G. Oppenheimer

Some features on this profile are disabled
CRD#: 3178207
JO

Professional summary

John Gregory Oppenheimer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, John had worked at 4 firms, which includes VERITY INVESTMENTS INC., BURNHAM SECURITIES INC., DAVID J. GREENE AND COMPANY LLC, HORNBLOWER & WEEKS INC..

top-8-questions

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.

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

September 25, 2003 - November 22, 2004

VERITY INVESTMENTS, INC.

BD
CRD#: 41527
DURHAM, NC
Past

May 9, 2001 - February 28, 2002

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY
Past

October 18, 1999 - February 7, 2000

DAVID J. GREENE AND COMPANY, LLC

BD
CRD#: 2072
NEW YORK, NY
Past

February 25, 1999 - October 13, 1999

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY

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
RR
Series 63
Date: 2/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1999
General Securities Representative Examination

Current Firm

VI
VERITY INVESTMENTS, INC.
BROKERAGE360 | VERITY INVESTMENTS, INC.

CRD#: 41527 / SEC#: , 8-49474

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
280 S Mangum St Ste 550, Durham, NC 27701-3683
Mailing Address
280 S Mangum St Ste 550, Durham, NC 27701-3683
Phone number
(919) 490-6717
Established
North Carolina since 06/27/2011
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VERITY FINANCIAL GROUP, INC.PARENT COMPANY
MUNSEY, JEFF ALANVICE PRESIDENT2777033
SIMONSON, AMY LOUISEVICE PRESIDENT/ PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER2326511
WEGWART, GORDON THOMASPRESIDENT/EXECUTIVE REP/CHIEF COMPLIANCE OFFICER1108685

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.

Company Information

VERITY INVESTMENTS, INC.

CRD#: 41527

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