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Mark Weinberg

Oppenheimer & CO. INC.
41 Years of Experience
Los Angeles, CA
2 DisclosuresBroker
View SEC Summary
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Mark Weinberg is a registered investment advisor at Oppenheimer & CO. INC., based in Los Angeles, CA, with 41 years of industry experience. Mark 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

10880 Wilshire Boulevard, 23rd Floor, Los Angeles, CA, 90024

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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
October 2012
Settled
Customer Dispute
May 2011
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
January 2003 - Present · 23 yrs 9 mos
Oppenheimer & CO. INC.Broker
January 2003 - Present · 23 yrs 9 mos
Previous Registrations
Cibc World Markets CORP.
November 1998 - January 2003 · 4 yrs 2 mos
Cibc World Markets CORP.Broker
October 1998 - January 2003 · 4 yrs 3 mos
Morgan Stanley & CO., IncorporatedBroker
March 1995 - October 1998 · 3 yrs 7 mos
Salomon Brothers Municipals INCBroker
November 1992 - March 1995 · 2 yrs 4 mos
Salomon Brothers INC.Broker
July 1992 - March 1995 · 2 yrs 8 mos
Kidder, Peabody & CO. IncorporatedBroker
June 1989 - July 1992 · 3 yrs 1 mo
Shearson Lehman Hutton INC.Broker
August 1986 - July 1989 · 2 yrs 11 mos
Travelers Equities Sales, INC.Broker
August 1985 - September 1986 · 1 yr 1 mo
State Registrations8 states
CACOIDLAMIMTNVNY
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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