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John Kaleh

Oppenheimer & CO. INC.
39 Years of Experience
Houston, TX
2 DisclosuresBroker
View SEC Summary
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John Kaleh is a registered investment advisor at Oppenheimer & CO. INC., based in Houston, TX, with 39 years of industry experience. John 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

711 Louisiana Street, 15th Floor, Houston, TX, 77002

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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.
Investigation
September 2002
Customer Dispute
November 2001
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
March 2007 - Present · 19 yrs 7 mos
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.Broker
April 2001 - January 2003 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1987 - May 2001 · 14 yrs 3 mos
State Registrations7 states
ARFLLAMIMTTXWA
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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