AO
Andrew R. Oppenheimer
NASDAQ EXECUTION SERVICES
Philadelphia, PA 19104
Some features on this profile are disabled
CRD#: 5529725
AO
Professional summary
Andrew Ryan Oppenheimer, who also goes by Andrew R Oppenheimer, is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew R Oppenheimer
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Ryan Oppenheimer's 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®
NoneExperience
Current
February 8, 2017 - Present
NASDAQ EXECUTION SERVICES, LLC
Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104Office #2: 151 W 42nd Street, New York, NY 10036BD
CRD#: 7270
Philadelphia, PA
Past
April 14, 2014 - February 10, 2017
VIRTU AMERICAS LLC
BD
CRD#: 149823
New York, NY
Past
September 18, 2012 - April 14, 2014
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
July 15, 2008 - September 17, 2012
AQUA SECURITIES L.P.
BD
CRD#: 47681
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(2/8/2017)
RR
Illinois(2/8/2017)
RR
New York(2/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/29/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
NE
NASDAQ EXECUTION SERVICES, LLC
BEAR STEARNS COMPUTER NETWORK INC. | THE BRUT ECN, L.L.C. | STRIKE TECHNOLOGIES LLC | NASDAQ EXECUTION SERVICES, LLC | COMMON BACK OFFICE, INC. | BSC SECURITIES CORP. | BRUT, LLC
CRD#: 7270 / SEC#: , 8-37329
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Mailing Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Phone number
(215) 496-5000
Established
Delaware since 11/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
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.
