Lee J. Twomey
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.
Lee Joseph Twomey was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1968. Lee had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2004 - March 3, 2023
OPPENHEIMER & CO. INC.
January 12, 2001 - January 29, 2004
BANC OF AMERICA SECURITIES LLC
November 17, 2000 - January 19, 2001
CREDIT SUISSE SECURITIES (USA) LLC
July 20, 1981 - January 16, 2001
PERSHING LLC
January 31, 1980 - August 5, 1981
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 26, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 26, 1978 - January 29, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
October 12, 1971 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
August 1, 1968 - October 13, 1971
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 7/26/1968
General Securities Principal ExaminationSeries 1
Date: 7/26/1968
Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR/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 | 39,036 |
| AUM (Assets Under Management) | $ 36,710,705,748 |
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 |
|---|---|---|
| 02/24/2026 | ||
| 01/24/2025 | ||
| 10/25/2023 |
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.
