Betsy Gootrad is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 18 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
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Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
666 3rd Avenue, New York, NY, 10017
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Betsy is a limited member in two family real estate investment partnerships, EVA Partners and CNST Partners, dedicating no time to either directly. She also manages two LLCs, Nasubet I and Nasubet II, and a trust related to selling her deceased father's art, spending minimal time on each, and is a partner in CNST Partners, a family investment vehicle, spending a few hours per week on the account.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
UBS Financial Services INC.Broker
State Registrations14 states
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