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Owen Rosenblum

Oppenheimer & CO. INC.
42 Years of Experience
Beachwood, OH
2 DisclosuresBroker
View SEC Summary
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Owen Rosenblum is a registered investment advisor at Oppenheimer & CO. INC., based in Beachwood, OH, with 42 years of industry experience. Owen 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

25550 Chagrin Blvd, Ste 310, Beachwood, OH, 44122

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History

Regulatory History (2)
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
November 2012
Settled
Customer Dispute
June 2003
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2012 - Present · 13 yrs 11 mos
Oppenheimer & CO. INC.Broker
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
Wells Fargo Advisors, LLC
May 2003 - November 2012 · 9 yrs 6 mos
Wells Fargo Advisors, LLCBroker
January 1999 - November 2012 · 13 yrs 10 mos
Mcdonald Investments INC.Broker
October 1990 - January 1999 · 8 yrs 3 mos
Cowen & CO.Broker
March 1985 - November 1990 · 5 yrs 8 mos
Painewebber IncorporatedBroker
March 1984 - December 1984 · 9 mos
State Registrations17 states
AZCACODCFLMDMEMIMNMTNJNMNYOHPATNWA
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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