Charles Roden
Charles Roden is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 58 years of industry experience. Charles 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
666 3rd Avenue, New York, NY, 10017
Get directionsHistory
Regulatory History (2)
Regulatory
June 2009Regulatory
August 1999Other Business Activities
Charles serves as a trustee for two trusts, the Article Seventh Trust U/NWill Ely Zimmerman and the Trust UWO Roslyn Miller. He dedicates minimal time to these activities.
Employment History
Current Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Previous Registrations
First Allied Securities, INC.Broker
Rockwood INC.Broker
Nathan & Lewis Securities, INC.Broker
Chatmon Capital Group, INC.Broker
Josephthal & CO., INC.Broker
Aibel, Gwirtzman & CO., INC.Broker
State Registrations14 states
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
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