Individual Firm
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HEATHER STELLA OLIVER
CRD#: 2817158
IA
B
OPPENHEIMER & CO. INC.CRD#: 249 100 SOUTH EAST 3RD AVENUE
SUITE 2100
FORT LAUDERDALE, FL 33394
SUITE 2100
FORT LAUDERDALE, FL 33394
View By:
9/30/2024
Employment Separation After Allegations
State Registrations
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California 10/25/2024
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New Jersey 10/25/2024
B
Delaware 10/25/2024
B
New York 10/25/2024
B
Florida 10/25/2024
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North Carolina 10/25/2024
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Florida 10/28/2024
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Pennsylvania 12/24/2024
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Georgia 10/25/2024
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Rhode Island 10/25/2024
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Georgia 2/24/2025
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South Carolina 10/25/2024
B
Maryland 11/1/2024
B
Tennessee 10/25/2024
B
Nevada 10/25/2024
B
Virginia 10/29/2024
SRO Registrations
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IA
Registered with this firm since 10/28/2024
B
Registered with this firm since 10/25/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/12/2016 - 10/15/2024 | FORT LAUDERDALE, FL | |
B | 08/30/2012 - 10/15/2024 | FORT LAUDERDALE, FL | |
IA | 09/05/2012 - 12/31/2016 | FORT LAUDERDALE, FL | |
IA | 01/19/2010 - 08/31/2012 | POMPANO BEACH, FL | |
B | 01/15/2010 - 08/31/2012 | POMPANO BEACH, FL | |
IA | 05/08/2008 - 01/20/2010 | FORT LAUDERDALE, FL | |
B | 05/05/2008 - 01/20/2010 | FORT LAUDERDALE, FL | |
IA | 10/25/2007 - 05/05/2008 | AVENTURA, FL | |
B | 10/24/2007 - 05/05/2008 | AVENTURA, FL | |
IA | 04/02/2007 - 08/28/2007 | FT. LAUDERDALE, FL | |
B | 04/02/2007 - 08/28/2007 | FT. LAUDERDALE, FL | |
IA | 10/19/2006 - 04/02/2007 | FT. LAUDERDALE, FL | |
B | 10/04/2006 - 04/02/2007 | FT. LAUDERDALE, FL | |
B | 09/22/1997 - 04/14/2003 | OMAHA, NE | |
B | 05/13/1997 - 09/17/1997 | NEW YORK, NY |
NEW YORK, NY
05/13/1997 - 09/17/1997
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.