DL
Firm Information
Compensation
Commission-BasedFixed/Hourly
Number of Advisors
5 advisors
Number of Clients
11 clients
Average Client Portfolio
Not specified
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Advisor Information
Office location
250 Park Avenue, 10th Floor, New York, NY, 10177
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Needham & Company, LLC
September 2019 - Present · 6 yrs 4 mos
Needham & Company, LLC Broker
September 2019 - Present · 6 yrs 4 mos
Needham & Company, LLC
September 2019 - Present · 6 yrs 4 mos
Previous Registrations
Oppenheimer & CO. INC.
May 2012 - September 2019 · 7 yrs 4 mos
Oppenheimer & CO. INC. Broker
May 2012 - September 2019 · 7 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2012 - May 2012 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
February 2012 - May 2012 · 3 mos
Canaccord Genuity INC.Broker
May 2010 - June 2011 · 1 yr 1 mo
BMO Capital Markets CORP. Broker
May 2001 - April 2010 · 8 yrs 11 mos
State Registrations5 states
CAILMAMNNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.