MS

Maurice Gordon Stuffmann

55 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

Wells Fargo Tower, 201 Main Street, Suite 828, Fort Worth, TX, 76102

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Regulatory History (3)
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
April 2020
Settled
Customer Dispute
March 2011
Settled
Customer Dispute
September 2001
Settled
Other Business Activities

Maurice owns mineral rights under his personal residence. He is also a co-trustee of the Stuffmann Family Trust, which holds investment assets and residences as part of estate planning.

Employment History
Current Registrations
Oppenheimer & CO. INC.
February 2011 - Present · 14 yrs 11 mos
Oppenheimer Asset Management
April 2003 - Present · 22 yrs 9 mos
Oppenheimer & CO. INC. Broker
January 2003 - Present · 23 yrs
Previous Registrations
Fahnestock Asset Management
January 2003 - April 2003 · 3 mos
Cibc World Markets CORP.
February 2002 - January 2003 · 11 mos
Cibc World Markets CORP.Broker
November 2001 - January 2003 · 1 yr 2 mos
J.P. Morgan Securities INC.Broker
February 2000 - November 2001 · 1 yr 9 mos
Hambrecht & Quist LLCBroker
December 1997 - February 2000 · 2 yrs 2 mos
Dabney/resnick/imperial, LLCBroker
September 1995 - December 1997 · 2 yrs 3 mos
Mitchum, Jones & Templeton, INC.Broker
January 1994 - September 1995 · 1 yr 8 mos
Sutro & CO. IncorporatedBroker
November 1989 - December 1993 · 4 yrs 1 mo
Wedbush Morgan Securities INC. Broker
November 1988 - November 1989 · 1 yr
Morgan, Olmstead, Kennedy & Gardner IncorporatedBroker
March 1984 - November 1989 · 5 yrs 8 mos
Sutro & CO. IncorporatedBroker
March 1970 - March 1984 · 14 yrs
State Registrations52 states
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AdvisorBrokerBoth
Exams
No exam information available for this advisor.