AS

Alan Joshua Sokol

37 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

100 Mill Plain Road, Suite 2C-2, Danbury, CT, 06811

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Regulatory History (1)
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.
Customer Dispute
May 2005
Closed-No Action
Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2005 - Present · 20 yrs 2 mos
Oppenheimer & CO. INC. Broker
July 2005 - Present · 20 yrs 6 mos
Previous Registrations
A. G. Edwards & Sons, INC.Broker
June 1990 - August 2005 · 15 yrs 2 mos
Smith Barney, Harris Upham & Co., Incorporated Broker
May 1989 - June 1990 · 1 yr 1 mo
Drexel Burnham Lambert IncorporatedBroker
August 1988 - May 1989 · 9 mos
State Registrations31 states
ALAZCACOCTDCDEFLGAIDILINKYMAMDMEMINCNENHNJNMNYOHPASCTXUTVAVTWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.