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Richard Levey

Oppenheimer & CO. INC.
58 Years of Experience
St. Louis, MO
2 DisclosuresBroker
View SEC Summary
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Richard Levey is a registered investment advisor at Oppenheimer & CO. INC., based in St. Louis, MO, with 58 years of industry experience. Richard 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
January 2013
Settled
Customer Dispute
January 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Richard serves as trustee for several family-related trusts. This activity is not investment-related.

Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2007 - Present · 18 yrs 11 mos
Oppenheimer & CO. INC.Broker
January 2003 - Present · 23 yrs 9 mos
Previous Registrations
Oppenheimer Asset Management
April 2003 - November 2007 · 4 yrs 7 mos
Fahnestock Asset Management
January 2003 - April 2003 · 3 mos
Cibc World Markets CORP.
October 1997 - January 2003 · 5 yrs 3 mos
Cibc World Markets CORP.Broker
February 1995 - January 2003 · 7 yrs 11 mos
Stifel, Nicolaus & Company, IncorporatedBroker
January 1986 - January 1995 · 9 yrs
Scherck, Stein & Franc, INC.Broker
December 1967 - January 1986 · 18 yrs 1 mo
State Registrations14 states
AZCACOFLGAILMNMONCNJNMOHWAWI
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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