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Benjamin Davis

Oppenheimer & CO. INC.
35 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
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Benjamin Davis is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 35 years of industry experience. Benjamin 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

777 Third Avenue, 34th Floor, New York, NY, 10017

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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.
Customer Dispute
July 2023
Settled
Employment Separation After Allegations
July 1996
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Benjamin grills burgers at pop-up events for Gotham Burger Social Club, dedicating minimal time to this non-investment related activity.

Employment History
Current Registrations
Oppenheimer & CO. INC.
March 2016 - Present · 10 yrs 7 mos
Oppenheimer & CO. INC.
January 2002 - Present · 24 yrs 9 mos
Oppenheimer & CO. INC.Broker
January 2002 - Present · 24 yrs 9 mos
Previous Registrations
Josephthal & CO., INC.Broker
May 1999 - January 2002 · 2 yrs 8 mos
Barington Capital Group, L.P.Broker
August 1996 - May 1999 · 2 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1994 - August 1996 · 2 yrs 5 mos
Lehman Brothers INC.Broker
September 1990 - February 1994 · 3 yrs 5 mos
State Registrations25 states
AZCACOCTDEFLGAILMAMDMINCNJNMNYOHPAPRRISCTNTXVAWIWV
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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