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Todd Wiggins

Oppenheimer & CO. INC.
32 Years of Experience
Dallas, TX
1 DisclosureBroker
View SEC Summary
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Todd Wiggins is a registered investment advisor at Oppenheimer & CO. INC., based in Dallas, TX, with 32 years of industry experience. Todd 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

13455 Noel Road, Two Galleria Tower, Suite 1800, Dallas, TX, 75240

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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
February 2007
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
May 2016 - Present · 10 yrs 5 mos
Oppenheimer & CO. INC.Broker
May 2016 - Present · 10 yrs 5 mos
Previous Registrations
UBS Financial Services INC.Broker
May 2014 - May 2016 · 2 yrs
UBS Financial Services INC.
May 2014 - May 2016 · 2 yrs
Morgan StanleyBroker
June 2009 - May 2014 · 4 yrs 11 mos
Morgan Stanley
June 2009 - May 2014 · 4 yrs 11 mos
Citigroup Global Markets INC.
January 2001 - June 2009 · 8 yrs 5 mos
The Robinson-Humphrey Company, LLCBroker
December 2000 - January 2002 · 1 yr 1 mo
Citigroup Global Markets INC.Broker
July 1998 - June 2009 · 10 yrs 11 mos
Marquis Investments, L.L.C.Broker
March 1997 - July 1998 · 1 yr 4 mos
Equitable Distributors, INC.Broker
December 1996 - January 1997 · 1 mo
Hibernia Investment Securities INC.Broker
May 1994 - February 1996 · 1 yr 9 mos
G Equity Investment Group LTD.Broker
August 1993 - May 1994 · 9 mos
State Registrations12 states
ALARAZCAFLGALAMANCNMTXVA
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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