Mark S. Garfinkel

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CRD#: 711322

Professional summary

Mark Steven Garfinkel was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark Steven Garfinkel was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 1 exams.

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 18, 2013 - December 16, 2016

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BOCA RATON, FL

Past

November 13, 2013 - December 16, 2016

OPPENHEIMER & CO. INC.

CRD#: 249

BOCA RATON, FL

Past

February 13, 2013 - November 25, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

JUPITER, FL

Past

February 13, 2013 - November 25, 2013

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

JUPITER, FL

Past

August 20, 2010 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

JUPITER, FL

Past

August 6, 2010 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

JUPITER, FL

Past

June 1, 2009 - August 27, 2010

MORGAN STANLEY

RIA

CRD#: 149777

BOCA RATON, FL

Past

June 1, 2009 - August 27, 2010

MORGAN STANLEY

CRD#: 149777

BOCA RATON, FL

Past

December 6, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOCA RATON, FL

Past

April 15, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOCA RATON, FL

Past

January 3, 2003 - February 28, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SEA GIRT, NJ

Past

May 4, 1995 - April 18, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 23, 1993 - May 19, 1995

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

November 12, 1987 - January 7, 1994

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 23, 1987 - November 23, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

July 3, 1980 - October 28, 1981

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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: 11/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/3/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/26/1980

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

Mark S. Garfinkel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

COMMONWEALTH ASSOCIATES

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2005

Series 63

Date: 6/30/1987

SIE

Date: 12/16/2016

Series 3

Date: 8/3/1987

Series 7

Date: 6/20/1987

Series 1

Date: 6/26/1980

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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