AS
CFA

Adam Richard Sands

15 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

85 Broad Street, 26th Flr, New York, NY, 10004

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Regulatory 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.

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Employment History
Current Registrations
Oppenheimer & CO. INC.
July 2023 - Present · 2 yrs 6 mos
Oppenheimer & CO. INC. Broker
July 2023 - Present · 2 yrs 6 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
May 2021 - September 2021 · 4 mos
Stifel, Nicolaus & Company, Incorporated Broker
March 2019 - September 2021 · 2 yrs 6 mos
First Empire Securities, INC.Broker
November 2017 - March 2019 · 1 yr 4 mos
Incapital LLCBroker
March 2017 - November 2017 · 8 mos
Kimberlite Advisors, LLCBroker
August 2015 - February 2017 · 1 yr 6 mos
Kpmg Corporate Finance LLCBroker
March 2014 - July 2015 · 1 yr 4 mos
Scott-Macon Securities, INC.Broker
October 2013 - March 2014 · 5 mos
D.A. Davidson & CO. Broker
February 2012 - April 2013 · 1 yr 2 mos
Mcgladrey Capital Markets, LLCBroker
December 2010 - March 2012 · 1 yr 3 mos
Grubb & Ellis Securities, INC.Broker
February 2008 - November 2010 · 2 yrs 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Adam Richard Sands - Financial Advisor | AdvisorDiscover