Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SAVANNAH L PINCUS
CRD#: 6508250
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 2121 PALOMAR AIRPORT ROAD
SUITE 130
CARLSBAD, CA 92011
Registration History
2017201820192020202120222023202420252026IAOPPENHEIMER & CO. INC. (CRD# 249)2019 - Present (6 years)BOPPENHEIMER & CO. INC. (CRD# 249)2017 - Present (7 years)
License(s)

State Registrations

B
Alabama 12/2/2024
B
Missouri 11/7/2023
B
Arizona 11/10/2022
B
Montana 12/2/2024
B
California 3/28/2019
B
Nebraska 12/2/2024
IA
California 3/28/2019
B
Nevada 11/24/2021
B
Colorado 12/2/2024
B
New Jersey 12/2/2024
B
Connecticut 12/2/2024
B
New Mexico 12/2/2024
B
Delaware 12/2/2024
B
New York 12/2/2024
B
Florida 11/24/2021
B
North Carolina 11/7/2023
B
Georgia 12/2/2024
B
Ohio 11/7/2023
B
Hawaii 12/2/2024
B
Oregon 11/10/2022
B
Idaho 11/7/2023
B
Pennsylvania 12/2/2024
B
Illinois 11/30/2020
B
Rhode Island 12/2/2024
B
Indiana 12/2/2024
B
South Dakota 12/2/2024
B
Kansas 12/2/2024
B
Tennessee 12/2/2024
B
Kentucky 12/2/2024
B
Texas 11/24/2021
B
Maine 12/2/2024
B
Utah 12/2/2024
B
Maryland 12/2/2024
B
Virginia 12/2/2024
B
Massachusetts 12/2/2024
B
Washington 11/24/2021
B
Michigan 12/2/2024
B
Wisconsin 12/2/2024

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)
2121 PALOMAR AIRPORT ROAD SUITE 130, CARLSBAD, CA 92011
SAN DIEGO, CA
Registered with this firm since 3/28/2019
B
OPPENHEIMER & CO. INC. (CRD#:249)
2121 PALOMAR AIRPORT ROAD SUITE 130, CARLSBAD, CA 92011
SAN DIEGO, CA
Registered with this firm since 9/20/2017
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.