Philip V. Oppenheimer

OPPENHEIMER & CLOSE

Lakeville, CT 06039

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CRD#: 353146

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.

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 AND 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 ITS FOUNDING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Victor 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

July 29, 2021 - Present

OPPENHEIMER & CLOSE, INC.

Office #1: 17 Juniper Ledge Lane, Lakeville, CT 06039

RIA

CRD#: 15168

Lakeville, CT

Past

November 9, 2006 - August 23, 2012

OPPENHEIMER & CLOSE, INC.

RIA

CRD#: 15168

NEW YORK, NY

Past

August 30, 1984 - October 1, 2013

OPPENHEIMER & CLOSE, INC.

CRD#: 15168

NEW YORK, NY

Past

July 13, 1978 - September 17, 1984

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

December 24, 1974 - July 13, 1978

BECKER SECURITIES INCORPORATED

CRD#: 6796

Past

April 24, 1973 - November 25, 1975

A. G. BECKER & CO., INCORPORATED

CRD#: 3

Past

January 19, 1972 - May 19, 1973

FIRST MANHATTAN SECURITIES LLC

CRD#: 1845

Past

September 28, 1967 - February 13, 1972

A. G. BECKER & CO., INCORPORATED

CRD#: 3

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)

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

Series 63

Date: 9/27/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 4/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 5

Date: 10/15/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 9/25/1967

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/27/1984

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 6/16/1984

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 40

Date: 10/5/1978

Registered 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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Philip V. Oppenheimer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Victor Oppenheimer's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CLOSE, INC.

OPPENHEIMER & CLOSE, INC.

BECKER PARIBAS INCORPORATED

BECKER SECURITIES INCORPORATED

A. G. BECKER & CO., INCORPORATED

FIRST MANHATTAN SECURITIES LLC

A. G. BECKER & CO., INCORPORATED

Primary Firm SEC Registration

OPPENHEIMER & CLOSE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/1979

Series 55

Date: 4/24/2000

Series 5

Date: 10/15/1981

Series 1

Date: 9/25/1967

Series 4

Date: 6/27/1984

Series 27

Date: 6/16/1984

Series 40

Date: 10/5/1978

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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