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William Vanech

Oppenheimer & CO. INC.
43 Years of Experience
Providence, RI
5 DisclosuresBroker
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William Vanech is a registered investment advisor at Oppenheimer & CO. INC., based in Providence, RI, with 43 years of industry experience. William 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
1159 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
—
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Location

1 Financial Plaza, Suite 2110, Providence, RI, 02903

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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.
Employment Separation After Allegations
August 2010
Customer Dispute
April 2010
Settled
Customer Dispute
May 2009
Settled
Customer Dispute
October 2002
Settled
Employment Separation After Allegations
April 1984
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
September 2010 - Present · 16 yrs 1 mo
Oppenheimer & CO. INC.
August 2010 - Present · 16 yrs 2 mos
Oppenheimer & CO. INC.Broker
August 2010 - Present · 16 yrs 2 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - August 2010 · 1 yr 2 mos
Morgan Stanley Smith Barney LLC
June 2009 - August 2010 · 1 yr 2 mos
Morgan Stanley & CO. Incorporated
April 2008 - June 2009 · 1 yr 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
December 2002 - February 2005 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
September 1999 - April 2007 · 7 yrs 7 mos
Sg Cowen Securities CorporationBroker
July 1998 - September 1999 · 1 yr 2 mos
Cowen & CO.Broker
December 1993 - July 1998 · 4 yrs 7 mos
Kidder, Peabody & CO. IncorporatedBroker
May 1984 - December 1993 · 9 yrs 7 mos
Advest, INC.Broker
May 1983 - April 1984 · 11 mos
State Registrations30 states
AZCACOCTDCDEFLGAIDILLAMAMDMEMINCNENHNJNMNYORPARISCTXUTVAVTWA
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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