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Ralph Yovane

Oppenheimer & CO. INC.
37 Years of Experience
Southbury, CT
1 DisclosureBroker
View SEC Summary
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Ralph Yovane is a registered investment advisor at Oppenheimer & CO. INC., based in Southbury, CT, with 37 years of industry experience. Ralph 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
—
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Location

466 Heritage Road, Southbury, CT, 06488

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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
January 1999
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
June 2017 - Present · 9 yrs 4 mos
Oppenheimer & CO. INC.
November 2011 - Present · 14 yrs 11 mos
Oppenheimer & CO. INC.Broker
November 2011 - Present · 14 yrs 11 mos
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
March 2009 - November 2011 · 2 yrs 8 mos
Citigroup Global Markets INC.Broker
July 1994 - March 2009 · 14 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1989 - July 1994 · 4 yrs 11 mos
A. G. Edwards & Sons, INC.Broker
July 1989 - August 1989 · 1 mo
Kidder, Peabody & CO. IncorporatedBroker
November 1988 - August 1989 · 9 mos
State Registrations7 states
CTFLHINJNYTXVA
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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