Philip Victor Oppenheimer
Professional Summary
Philip Victor Oppenheimer is a registered financial advisor currently at OPPENHEIMER & CLOSE, INC. located in Lakeville, Connecticut. Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1967. Philip has worked at 5 firms and has passed the Series 63, Series 55, Series 5, Series 1, Series 4, Series 27 and Series 40 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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Contact Information
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Disclosures on record.
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Years of Experience
59 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
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)
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 Apr 2000Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 1 — Registered Representative Examination
Passed Sep 1967Series 40 — Registered Principal Examination
Passed Oct 1978Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Philip Victor Oppenheimer's CRS (Customer Relationship Summary).
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