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Robert Daries

Oppenheimer & CO. INC.
32 Years of Experience
Jenkintown, PA
2 DisclosuresBroker
View SEC Summary
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Robert Daries is a registered investment advisor at Oppenheimer & CO. INC., based in Jenkintown, PA, with 32 years of industry experience. Robert 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 Pitcairn Place, 165 Township Line Road, Suite 2300, Jenkintown, PA, 19046

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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
June 2008
Settled
Customer Dispute
August 2004
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
May 2021 - Present · 5 yrs 5 mos
Oppenheimer & CO. INC.Broker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2007 - June 2021 · 13 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2007 - June 2021 · 13 yrs 7 mos
UBS Financial Services INC.
May 2002 - November 2007 · 5 yrs 6 mos
UBS Financial Services INC.Broker
December 2001 - November 2007 · 5 yrs 11 mos
Gruntal & CO., L.L.C.Broker
December 2000 - December 2001 · 1 yr
Josephthal & CO., INC.Broker
October 1996 - December 2000 · 4 yrs 2 mos
Kensington Wells IncorporatedBroker
January 1996 - October 1996 · 9 mos
Josephthal Lyon & Ross IncorporatedBroker
August 1995 - January 1996 · 5 mos
Olde Discount CorporationBroker
December 1994 - July 1995 · 7 mos
Gruntal & CO. IncorporatedBroker
April 1994 - November 1994 · 7 mos
Continental Broker-Dealer CORP.Broker
October 1993 - March 1994 · 5 mos
State Registrations24 states
AZCACOCTDCDEFLGAILMAMDMEMIMNNCNJNMNYORPATXVAVTWA
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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