Individual Firm
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JEFFREY SCOTT FAUNCE
CRD#: 2165698
IA
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OPPENHEIMER & CO. INC.CRD#: 249 3200 CHERRY CREEK SOUTH DRIVE
SUITE 310
DENVER, CO 80209
SUITE 310
DENVER, CO 80209
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Disclosures
10
Years of Experience
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State Registrations
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Arizona 2/6/2020
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Michigan 3/3/2020
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California 4/27/2018
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Minnesota 4/27/2018
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Colorado 2/28/2018
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Montana 4/27/2018
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Colorado 4/2/2018
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New Mexico 5/4/2018
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Connecticut 4/27/2018
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New York 4/26/2018
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Delaware 4/27/2018
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North Carolina 9/9/2022
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District of Columbia 4/27/2018
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Ohio 5/4/2018
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Florida 4/27/2018
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Oregon 5/4/2018
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Georgia 4/27/2018
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South Carolina 2/5/2025
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Illinois 4/27/2018
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Texas 4/27/2018
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Iowa 1/17/2025
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Utah 4/27/2018
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Kansas 4/27/2018
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Vermont 1/17/2024
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Maine 4/27/2018
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Virginia 4/27/2018
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Massachusetts 4/27/2018
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Washington 4/27/2018
SRO Registrations
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Registered with this firm since 2/28/2018
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Registered with this firm since 3/29/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/15/2015 - 02/23/2018 | LAKEWOOD, CO | |
B | 08/19/1991 - 04/27/1992 |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.