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Detailed Report
JESSICA S THORSEN
JESSICA SERENE BOGEN, JESSICA SERENE THORSEN, JESSICA THORSEN
CRD#: 4404503
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 500 108TH AVENUE NE
SUITE 2100
BELLEVUE, WA 98004
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2006 (<1 year)2 FIRMS2020 - 2020 (<1 year)2 FIRMS2020 - 2022 (2 years)2 FIRMS2023 - Present (2 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2019 - 2019 (<1 year)BPIPER JAFFRAY & CO. (CRD# 665)2010 - 2018 (7 years)BRBC CAPITAL MARKETS CORPORATION (CRD# 31194)2006 - 2010 (4 years)IAPIPER JAFFRAY INVESTMENT MANAG... (CRD# 145876)2012 - 2013 (1 year)IARBC CAPITAL MARKETS CORPORATION (CRD# 31194)2007 - 2010 (3 years)
License(s)

State Registrations

B
Washington 4/19/2023
IA
Washington 4/19/2023

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, 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)
500 108TH AVENUE NE SUITE 2100, BELLEVUE, WA 98004
Registered with this firm since 4/19/2023
B
OPPENHEIMER & CO. INC. (CRD#:249)
500 108TH AVENUE NE SUITE 2100, BELLEVUE, WA 98004
Registered with this firm since 4/19/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/23/2020 - 09/07/2022 LPL FINANCIAL LLC (CRD#:6413) MERCER ISLAND, WA
B
 09/23/2020 - 09/07/2022 LPL FINANCIAL LLC (CRD#:6413) MERCER ISLAND, WA
IA
 01/24/2020 - 09/23/2020 KMS FINANCIAL SERVICES, INC (CRD#:3866) Mercer Island, WA
B
 01/23/2020 - 09/23/2020 KMS FINANCIAL SERVICES, INC. (CRD#:3866) Mercer Island, WA
B
 04/03/2019 - 06/11/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) Bellevue, WA
B
 08/30/2010 - 07/16/2018 PIPER JAFFRAY & CO. (CRD#:665) SEATTLE, WA
IA
 04/04/2012 - 12/31/2013 PIPER JAFFRAY INVESTMENT MANAGEMENT LLC (CRD#:145876) SEATTLE, WA
IA
 05/10/2007 - 09/16/2010 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) SEATTLE, WA
B
 08/18/2006 - 09/16/2010 RBC CAPITAL MARKETS CORPORATION (CRD#:31194) SEATTLE, WA
B
 08/12/2006 - 09/05/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) SEATTLE, WA
B
 04/26/2006 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) SEATTLE, WA
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.