John L. Carolyn

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CRD#: 714003

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.

John Leonard Carolyn, who also goes by John L Carolyn, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1980. John had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John L Carolyn

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

September 28, 2010 - February 8, 2012

OPPENHEIMER & CO. INC.

CRD#: 249

SAN DIEGO, CA

Past

September 13, 2005 - December 1, 2009

MULTI-BANK SECURITIES, INC.

CRD#: 22098

COSTA MESA, CA

Past

June 27, 2001 - February 10, 2005

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

CORAL GABLES, FL

Past

October 13, 1999 - November 20, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 25, 1997 - March 24, 1998

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

June 1, 1995 - April 21, 1997

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

CLEARWATER, FL

Past

March 6, 1995 - June 6, 1995

CULLUM & SANDOW SECURITIES, INC.

CRD#: 15836

DALLAS, TX

Past

April 22, 1994 - March 7, 1995

SIGNAL SECURITIES, INC.

CRD#: 15916

FORT WORTH, TX

Past

November 18, 1993 - June 3, 1994

AMERICAP FINANCIAL, INC.

CRD#: 19626

FORT WORTH, TX

Past

March 12, 1993 - June 6, 1994

TEXAS SECURITIES, INC.

CRD#: 7655

FT. WORTH, TX

Past

October 15, 1992 - March 4, 1993

GLOBALVEST SECURITIES, (USA), INC

CRD#: 15458

CLEARWATER, FL

Past

April 14, 1983 - August 8, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

August 19, 1980 - May 9, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Series 63

Date: 10/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/13/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/2005

General Securities Principal 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

John L. Carolyn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MULTI-BANK SECURITIES, INC.

AUSTIN ATLANTIC CAPITAL INC.

MORGAN STANLEY DW INC.

OPPENHEIMER & CO. INC.

GLOBALVEST SECURITIES, (USA), INC

CULLUM & SANDOW SECURITIES, INC.

SIGNAL SECURITIES, INC.

AMERICAP FINANCIAL, INC.

TEXAS SECURITIES, INC.

GLOBALVEST SECURITIES, (USA), INC

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1992

Series 7

Date: 10/13/1992

Series 24

Date: 12/6/2005

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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