TrueAdvisor
TrueAdvisor
SB
SB

Steven Baaden

Oppenheimer & CO. INC.
42 Years of Experience
Dallas, TX
9 DisclosuresBroker
View SEC Summary
View SEC Summary

Steven Baaden is a registered investment advisor at Oppenheimer & CO. INC., based in Dallas, TX, with 42 years of industry experience. Steven 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
—
View Full SEC Brochure

Location

13455 Noel Road, Two Galleria Tower, Suite 1800, Dallas, TX, 75240

Get directions

History

Regulatory History (9)
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
February 2024
Denied
Customer Dispute
February 2021
Settled
Customer Dispute
March 2013
Settled
Customer Dispute
February 2013
Settled
Employment Separation After Allegations
January 2013
Customer Dispute
February 1994
Settled
Customer Dispute
July 1993
Settled
Customer Dispute
February 1992
Award / Judgment
Customer Dispute
August 1988
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
February 2013 - Present · 13 yrs 8 mos
Oppenheimer & CO. INC.Broker
February 2013 - Present · 13 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2008 - February 2013 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2008 - February 2013 · 4 yrs 5 mos
Citigroup Global Markets INC.
May 2005 - October 2008 · 3 yrs 5 mos
Citigroup Global Markets INC.Broker
May 2005 - October 2008 · 3 yrs 5 mos
UBS Financial Services INC.
July 1997 - June 2005 · 7 yrs 11 mos
UBS Financial Services INC.Broker
November 1986 - June 2005 · 18 yrs 7 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
November 1984 - December 1986 · 2 yrs 1 mo
Coastal Securities CorporationBroker
July 1984 - November 1984 · 4 mos
State Registrations28 states
ALAZCACOCTDEFLGAIDINKSMDMINCNJNMNVNYOHORPARISCTXUTVAWAWI
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 Advisors
More financial advisors in Dallas, TX →All financial advisors in Texas →