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Alan Sokol

Oppenheimer & CO. INC.
38 Years of Experience
Danbury, CT
1 DisclosureBroker
View SEC Summary
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Alan Sokol is a registered investment advisor at Oppenheimer & CO. INC., based in Danbury, CT, with 38 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

100 Mill Plain Road, Suite 2C-2, Danbury, CT, 06811

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History

Regulatory History (1)
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
May 2005
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2005 - Present · 20 yrs 11 mos
Oppenheimer & CO. INC.Broker
July 2005 - Present · 21 yrs 3 mos
Previous Registrations
A. G. Edwards & Sons, INC.Broker
June 1990 - August 2005 · 15 yrs 2 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
May 1989 - June 1990 · 1 yr 1 mo
Drexel Burnham Lambert IncorporatedBroker
August 1988 - May 1989 · 9 mos
State Registrations26 states
AZCACOCTDEFLGAIDILINKYMAMDMINCNHNJNMNYOHPASCTXUTVAVT
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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