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RACHEL SYDNEY RICHWINE
RACHEL SYDNEY KELL, RACHEL SYDNEY RICHWINE
CRD#: 2263925
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 255 STATE STREET
5TH FLOOR
BOSTON, MA 02109
Registration History
19901995200020052010201520202025IAOPPENHEIMER & CO. INC. (CRD# 249)2023 - Present (2 years)BOPPENHEIMER & CO. INC. (CRD# 249)2003 - Present (22 years)BCIBC WORLD MARKETS CORP. (CRD# 630)2001 - 2003 (1 year)BDEUTSCHE BANC ALEX. BROWN INC. (CRD# 2525)2001 - 2001 (<1 year)BDB ALEX. BROWN LLC (CRD# 17790)1997 - 2001 (3 years)BALEX. BROWN & SONS INCORPORATED (CRD# 20)1997 - 1997 (<1 year)BMESIROW FINANCIAL, INC. (CRD# 2764)1994 - 1995 (1 year)BOAK RIDGE INVESTMENTS, INC. (CRD# 25544)1992 - 1994 (1 year)
Disclosure(s)
View By:
12/17/1987
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 4/12/2016

B
New Jersey 3/28/2016

B
California 3/17/2016

B
New Mexico 3/18/2016

B
Colorado 12/8/2023

B
New York 3/18/2016

B
Connecticut 3/18/2016

B
North Carolina 3/21/2016

B
Delaware 3/29/2016

B
Oregon 3/17/2016

B
District of Columbia 3/17/2016

B
Pennsylvania 2/5/2025

B
Florida 3/18/2016

B
Rhode Island 3/17/2016

B
Georgia 3/18/2016

B
South Carolina 3/17/2016

B
Illinois 3/17/2016

B
Texas 4/1/2016

B
Maine 3/18/2016

IA
Texas 5/11/2023

B
Maryland 3/18/2016

B
Vermont 5/18/2023

B
Massachusetts 1/3/2003

B
Virginia 3/17/2016

IA
Massachusetts 1/3/2023

B
Washington 3/25/2016

B
New Hampshire 3/17/2016

B
Wyoming 3/17/2016

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)
255 STATE STREET 5TH FLOOR, BOSTON, MA 02109
Registered with this firm since 1/3/2023

B
OPPENHEIMER & CO. INC. (CRD#:249)
255 STATE STREET 5TH FLOOR, BOSTON, MA 02109
Registered with this firm since 1/3/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/31/2001 - 01/03/2003 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
01/13/2001 - 11/20/2001 DEUTSCHE BANC ALEX. BROWN INC. (CRD#:2525) NEW YORK, NY
B
09/01/1997 - 01/13/2001 DB ALEX. BROWN LLC (CRD#:17790) BALTIMORE, MD
B
01/01/1997 - 09/01/1997 ALEX. BROWN & SONS INCORPORATED (CRD#:20)
B
05/19/1994 - 10/02/1995 MESIROW FINANCIAL, INC. (CRD#:2764) CHICAGO, IL
B
11/20/1992 - 05/04/1994 OAK RIDGE INVESTMENTS, INC. (CRD#:25544) CHICAGO, IL
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Broker
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Investment Adviser
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.