TrueAdvisor
TrueAdvisor
SS
SS

Scott Shulman

Oppenheimer & CO. INC.
43 Years of Experience
Washington, DC
5 DisclosuresBroker
View SEC Summary
View SEC Summary

Scott Shulman is a registered investment advisor at Oppenheimer & CO. INC., based in Washington, DC, with 43 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.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1135 advisors
Number of Clients
37,605 clients
Average Client Portfolio
$862K average
Assets Under Management
$32.4B

Fee Structure

Minimum Investment:$10K
Minimum Annual Fee:$250

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.

View Full SEC Brochure

Location

1801 K Street Nw, Suite 750, Washington, DC, 20006

Get directions

History

Regulatory History (5)
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.
Regulatory
January 2013
Final
Employment Separation After Allegations
August 2011
Customer Dispute
March 1995
Settled
Customer Dispute
January 1995
Settled
Customer Dispute
December 1994
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Scott Shulman is the trustee of Daughters Trust, Lohren Alyssa Shulman Rev. Trust since 2011. This activity is not investment-related.

Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2011 - Present · 14 yrs 6 mos
Oppenheimer & CO. INC.
August 2011 - Present · 14 yrs 9 mos
Oppenheimer & CO. INC.Broker
August 2011 - Present · 14 yrs 9 mos
Previous Registrations
RBC Capital Markets, LLCBroker
March 2009 - August 2011 · 2 yrs 5 mos
RBC Capital Markets, LLC
March 2009 - August 2011 · 2 yrs 5 mos
Ferris, Baker Watts, LLC
January 1997 - March 2009 · 12 yrs 2 mos
Ferris, Baker Watts, LLCBroker
February 1996 - March 2009 · 13 yrs 1 mo
Prudential Securities IncorporatedBroker
February 1988 - January 1996 · 7 yrs 11 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1985 - February 1988 · 2 yrs 9 mos
Laidlaw Adams & Peck INC.Broker
May 1983 - June 1985 · 2 yrs 1 mo
Koonce Securities, INC.Broker
January 1983 - May 1983 · 4 mos
State Registrations32 states
ARAZCACOCTDCDEFLGAILINKYLAMDMINCNENJNVNYOHOKORPARISCTNTXUTVAWAWV
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.
More financial advisors in Washington, DC →All financial advisors in District of Columbia →