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Detailed Report
STEVEN PHILIP AUERFELD
CRD#: 1061807
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 1818 MARKET STREET
SUITE 2700
PHILADELPHIA, PA 19103
Registration History
1985199019952000200520102015202020252 FIRMS1990 - 1998 (8 years)IAOPPENHEIMER & CO. INC. (CRD# 249)2007 - Present (17 years)BOPPENHEIMER & CO. INC. (CRD# 249)2003 - Present (22 years)BCIBC WORLD MARKETS CORP. (CRD# 630)2000 - 2003 (2 years)BGARBAN LLC (CRD# 19739)1998 - 2000 (1 year)BGARBAN LIMITED (CRD# 19739)1989 - 1990 (1 year)BGARBAN SECURITIES, INC. (CRD# 20004)1988 - 1990 (1 year)BMKI SECURITIES CORP. (CRD# 2762)1985 - 1988 (3 years)BSHEARSON/AMERICAN EXPRESS INC. (CRD# 7506)1982 - 1983 (<1 year)
License(s)

State Registrations

B
Arizona 6/1/2011
B
Massachusetts 1/6/2022
B
California 1/3/2003
B
Michigan 2/25/2020
B
Colorado 1/4/2021
B
Missouri 5/19/2011
B
Connecticut 1/3/2003
B
New Jersey 1/3/2003
B
Delaware 1/27/2014
IA
New Jersey 7/25/2007
B
Florida 1/3/2003
B
New York 1/3/2003
B
Georgia 3/10/2020
B
Pennsylvania 1/3/2003
B
Illinois 5/1/2019
IA
Pennsylvania 12/8/2015
B
Maryland 6/17/2014
B
South Carolina 1/3/2003

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OPPENHEIMER & CO. INC. (CRD#:249)
1818 MARKET STREET SUITE 2700, PHILADELPHIA, PA 19103
Registered with this firm since 7/25/2007
B
OPPENHEIMER & CO. INC. (CRD#:249)
1818 MARKET STREET SUITE 2700, PHILADELPHIA, PA 19103
Registered with this firm since 1/3/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/17/2000 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
 11/16/1998 - 01/07/2000 GARBAN LLC (CRD#:19739) NEW YORK, NY
B
 09/07/1990 - 11/05/1998 CANTOR FITZGERALD SECURITIES (CRD#:19660) NEW YORK, NY
B
 09/06/1990 - 11/05/1998 CANTOR FITZGERALD PARTNERS (CRD#:13681) NEW YORK, NY
B
 02/15/1989 - 08/28/1990 GARBAN LIMITED (CRD#:19739) NEW YORK, NY
B
 11/22/1988 - 08/28/1990 GARBAN SECURITIES, INC. (CRD#:20004) JERSEY CITY, NJ
B
 02/05/1985 - 11/04/1988 MKI SECURITIES CORP. (CRD#:2762)
B
 10/20/1982 - 07/08/1983 SHEARSON/AMERICAN EXPRESS INC. (CRD#:7506)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.