AR

Alan Robert Riffle

36 Years of Experience

Firm Information

Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Number of Advisors
1106 advisors
Number of Clients
37,605 clients
Average Client Portfolio
$862K average
Assets Under Management
$32.4B

Fee Structure

Minimum Investment:$10K
Minimum Annual Fee:$250

Oppenheimer's advisory fees are negotiable and vary based on account type, size, and services provided. The minimum annual fee is $250, but this is waived for accounts over $50,000 or households with at least $250,000 in advisory accounts. The fees cover investment services, trading, custody, and reporting. Clients may pay more or less in a wrap fee program compared to purchasing services separately. The table above shows the maximum fees for each program.

Areas of Practice
Investment ManagementRetirement PlanningHigh Net Worth
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Advisor Information

Office location

711 Louisiana Street, 15th Floor, Houston, TX, 77002

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Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 1993
Customer Dispute
April 1993
Settled
Other Business ActivitiesSells Insurance

Alan is co-trustee for several trusts, including a life insurance trust, requiring minimal time commitment overall. He is also a board member at Gold Country Club, dedicating minimal time and no time during security trading hours.

Employment History
Current Registrations
Oppenheimer & CO. INC.
April 2009 - Present · 16 yrs 9 mos
Oppenheimer & CO. INC. Broker
March 2009 - Present · 16 yrs 10 mos
Previous Registrations
Stanford Group Company
January 2007 - March 2009 · 2 yrs 2 mos
Stanford Group CompanyBroker
January 2007 - March 2009 · 2 yrs 2 mos
Morgan Stanley
September 1999 - January 2007 · 7 yrs 4 mos
Morgan Stanley Dw INC.Broker
September 1999 - January 2007 · 7 yrs 4 mos
Oppenheimer & Co., INC.Broker
April 1995 - April 1995 · 0 mos
Cibc World MarketsBroker
March 1995 - September 1999 · 4 yrs 6 mos
Commonwealth AssociatesBroker
October 1993 - March 1995 · 1 yr 5 mos
Lehman Brothers INC.Broker
August 1989 - November 1993 · 4 yrs 3 mos
State Registrations17 states
AZCACODEFLILINMDNCNJNMNVNYOHPATXVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Alan Robert Riffle - Financial Advisor | AdvisorDiscover