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Randy Moshtael

Oppenheimer & CO. INC.
43 Years of Experience
Los Angeles, CA
3 DisclosuresBroker
View SEC Summary
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Randy Moshtael is a registered investment advisor at Oppenheimer & CO. INC., based in Los Angeles, CA, with 43 years of industry experience. Randy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1155 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

10880 Wilshire Boulevard, 23rd Floor, Los Angeles, CA, 90024

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2024
Settled
Customer Dispute
July 2015
Settled
Employment Separation After Allegations
September 2002
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
June 2003 - Present · 23 yrs 4 mos
Oppenheimer & CO. INC.Broker
June 2003 - Present · 23 yrs 4 mos
Previous Registrations
Morgan Stanley Dw INC.Broker
May 2003 - June 2003 · 1 mo
Morgan Stanley
May 2003 - June 2003 · 1 mo
Salomon Smith Barney INC.
July 1997 - September 2002 · 5 yrs 2 mos
Salomon Smith Barney INC.Broker
July 1993 - September 2002 · 9 yrs 2 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
Shearson PacificBroker
June 1987 - March 1988 · 9 mos
E. F. Hutton & Company INCBroker
August 1982 - June 1987 · 4 yrs 10 mos
State Registrations11 states
AZCACOCTIDMINVNYORTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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