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Alan Schnall

Oppenheimer & CO. INC.
39 Years of Experience
Boca Raton, FL
Broker
View SEC Summary
View SEC Summary

Alan Schnall is a registered investment advisor at Oppenheimer & CO. INC., based in Boca Raton, FL, with 39 years of industry experience. Alan 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

Yamato Office Center, 999 Yamato Road, Suite 300, Boca Raton, FL, 33431

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Oppenheimer & CO. INC.
February 2018 - Present · 8 yrs 8 mos
Oppenheimer & CO. INC.Broker
September 2007 - Present · 19 yrs 1 mo
Previous Registrations
Sterne, Agee & Leach, INC.Broker
December 2006 - September 2007 · 9 mos
Scott & Stringfellow, INC.Broker
February 2005 - December 2006 · 1 yr 10 mos
Sterling Financial Investment Group, INC.Broker
August 2004 - February 2005 · 6 mos
Oppenheimer & CO. INC.Broker
July 2000 - September 2004 · 4 yrs 2 mos
Orosey & Pepe Capital Markets, INC.Broker
December 1998 - July 2000 · 1 yr 7 mos
Fahnestock & CO., INC.Broker
July 1998 - December 1998 · 5 mos
Suncoast Capital Group, LTD.Broker
August 1996 - July 1998 · 1 yr 11 mos
The G.M.S. Group, INC.Broker
November 1995 - August 1996 · 9 mos
Lehwald, Orosey & Pepe Capital Markets, INC.Broker
June 1995 - November 1995 · 5 mos
Lehwald, Orosey & Pepe IncorporatedBroker
March 1989 - November 1995 · 6 yrs 8 mos
Marcus, Stowell & Beye Government Securities, INC.Broker
December 1988 - March 1989 · 3 mos
Marcus, Stowell & Beye, INC.Broker
December 1988 - March 1989 · 3 mos
U.S. Associates of Florida, INC.Broker
June 1988 - December 1988 · 6 mos
Westcap Securities, INC.Broker
May 1988 - July 1988 · 2 mos
First State Investments, INC.Broker
January 1988 - May 1988 · 4 mos
First Investment Securities, INC.Broker
October 1986 - January 1988 · 1 yr 3 mos
State Registrations24 states
AKCACOCTFLILLAMDMIMNMOMSNJNMNVNYORSDTXVAVTWAWIWV
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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