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Fred Berens

Oppenheimer & CO. INC.
61 Years of Experience
Coral Gables, FL
7 DisclosuresBroker
View SEC Summary
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Fred Berens is a registered investment advisor at Oppenheimer & CO. INC., based in Coral Gables, FL, with 61 years of industry experience. Fred 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

2811 Ponce De Leon Boulevard, Suite 900, Coral Gables, FL, 33134

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History

Regulatory History (7)
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
February 2014
Settled
Customer Dispute
July 2009
Settled
Regulatory
May 1998
Final
Customer Dispute
August 1991
Award / Judgment
Customer Dispute
January 1984
Award / Judgment
Customer Dispute
July 1982
Settled
Regulatory
December 1975
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Fred is involved in several outside business activities, including owning commercial real estate, serving as president of Raber Corp (which owns a nursing home), and acting as a trustee for multiple trusts. He also serves as a trustee for the University of Miami and as Vice Chairman of the PBS Foundation, dedicating minimal time to each of these roles.

Employment History
Current Registrations
Oppenheimer & CO. INC.
October 2021 - Present · 5 yrs
Oppenheimer & CO. INC.Broker
October 2021 - Present · 5 yrs
Oppenheimer & CO. INC.
October 2021 - Present · 5 yrs
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
July 2003 - November 2021 · 18 yrs 4 mos
Wells Fargo Clearing Services, LLC
July 2003 - November 2021 · 18 yrs 4 mos
Prudential Securities Incorporated
July 1990 - July 2003 · 13 yrs
Prudential Securities IncorporatedBroker
September 1977 - July 2003 · 25 yrs 10 mos
Bache Halsey Stuart INC.Broker
August 1976 - September 1977 · 1 yr 1 mo
Bache & CO IncorporatedBroker
February 1976 - August 1976 · 6 mos
Bache & CO., IncorporatedBroker
August 1965 - February 1976 · 10 yrs 6 mos
State Registrations22 states
AZCACOCTDCDEFLGAIDKYMDNCNJNVNYOHORPRSCSDTXWA
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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