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Timothy Shocklee

Oppenheimer & CO. INC.
33 Years of Experience
St. Louis, MO
2 DisclosuresBroker
View SEC Summary
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Timothy Shocklee is a registered investment advisor at Oppenheimer & CO. INC., based in St. Louis, MO, with 33 years of industry experience. Timothy 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

One North Brentwood Boulevard, Suite 600, St. Louis, MO, 63105

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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
May 2012
Award / Judgment
Customer Dispute
March 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Timothy has a private investment in a building through Baur Holdings LLC since 2017. This activity requires minimal time and does not occur during securities trading hours.

Employment History
Current Registrations
Oppenheimer & CO. INC.
March 2009 - Present · 17 yrs 7 mos
Oppenheimer & CO. INC.Broker
February 2009 - Present · 17 yrs 8 mos
Previous Registrations
Citigroup Global Markets INC.
November 1995 - March 2009 · 13 yrs 4 mos
Citigroup Global Markets INC.Broker
July 1993 - March 2009 · 15 yrs 8 mos
Lehman Brothers INC.Broker
April 1993 - July 1993 · 3 mos
State Registrations18 states
ALARCACOFLIDILINKSMONENHNYOKPASCTXWA
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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