Laurence M. Simon

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CRD#: 424556

Professional summary

Laurence Mitchell Simon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Laurence is a previously registered financial advisor and started their career in finance in 1971. Prior to being barred, Laurence had worked at 9 firms, which includes OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS KUHN LOEB INCORPORATED, LEHMAN BROTHERS INCORPORATED, DONALDSON LUFKIN & JENRETTE INC., STERN FRANK MEYER & FOX INCORPORATED, ANDRESEN & CO., WILLIAM NORTON & COMPANY INC..

Question & Answer

Are you a "fiduciary"?

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

November 28, 2007 - December 31, 2012

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

STAMFORD, CT

Past

January 3, 2003 - December 31, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

STAMFORD, CT

Past

August 15, 1991 - April 18, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

January 2, 1990 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 21, 1980 - January 17, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 22, 1978 - April 21, 1980

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

November 16, 1977 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

CRD#: 514

Past

March 3, 1976 - October 5, 1976

DONALDSON, LUFKIN & JENRETTE, INC.

CRD#: 1665

Past

January 22, 1974 - March 13, 1976

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

July 17, 1973 - March 11, 1974

STERN, FRANK, MEYER & FOX, INCORPORATED

CRD#: 790

Past

September 1, 1972 - August 13, 1973

ANDRESEN & CO.

CRD#: 49

Past

September 20, 1971 - October 12, 1972

WILLIAM NORTON & COMPANY, INC.

CRD#: 5292

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 & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

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: 8/5/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 7/13/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 9/26/1966

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 9/26/1966

Registered Representative Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	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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Firm Stability Insights

Laurence M. Simon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN BROTHERS INCORPORATED

DONALDSON, LUFKIN & JENRETTE, INC.

CIBC WORLD MARKETS CORP.

STERN, FRANK, MEYER & FOX, INCORPORATED

ANDRESEN & CO.

WILLIAM NORTON & COMPANY, INC.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1993

Series 63

Date: 9/27/1979

PC

Date: 7/13/1977

Series 000

Date: 9/26/1966

Series 1

Date: 9/26/1966

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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