Kenneth Smalley is a CFA-designated registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 23 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
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Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
85 Broad Street, 26th Flr, New York, NY, 10004
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
Stonex Financial INC.Broker
Btig, LLCBroker
Seaport Global Securities LLCBroker
Alliance Fund Distributors, INC.Broker
Painewebber IncorporatedBroker
Bny Capital Markets INC.Broker
Natwest Securities CorporationBroker
Nomura Securities International, INC.Broker
State Registrations53 states
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