Ronald K. Cheng

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CRD#: 5777920

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ronald K Cheng, who also goes by Ronald Cheng, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 2011. Ronald had worked at 1 firm and has passed the Series 66, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ronald Cheng

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

October 18, 2011 - October 1, 2013

OPPENHEIMER & CLOSE, INC.

CRD#: 15168

NEW YORK, NY

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.

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 66

Date: 3/1/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 55

Date: 12/29/2012

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/17/2011

General Securities Representative 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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Ronald K. Cheng

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CLOSE, INC.

Primary Firm SEC Registration

OPPENHEIMER & CLOSE, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/1/2012

Series 55

Date: 12/29/2012

Series 7

Date: 10/17/2011

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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