TrueAdvisor
TrueAdvisor
AD
AD

Anthony D'ascoli

Oppenheimer & CO. INC.
26 Years of Experience
Boca Raton, FL
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Anthony D'ascoli is a registered investment advisor at Oppenheimer & CO. INC., based in Boca Raton, FL, with 26 years of industry experience. Anthony 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
1155 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

Yamato Office Center, 999 Yamato Road, Suite 300, Boca Raton, FL, 33431

Get directions

History

Regulatory History (4)
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 2026
Pending
Customer Dispute
February 2023
Settled
Customer Dispute
January 2023
Denied
Customer Dispute
March 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Anthony is a partner in Greenwich Estates LLC and president of A.R.D. Enterprises, a real estate holding company, dedicating minimal time to these activities. He also serves as co-executor for an estate, spending minimal time per month.

Employment History
Current Registrations
Oppenheimer & CO. INC.
September 2013 - Present · 13 yrs 1 mo
Oppenheimer & CO. INC.
September 2013 - Present · 13 yrs 1 mo
Oppenheimer & CO. INC.Broker
September 2013 - Present · 13 yrs 1 mo
Previous Registrations
UBS Financial Services INC.
June 2009 - July 2013 · 4 yrs 1 mo
UBS Financial Services INC.Broker
June 2009 - July 2013 · 4 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2001 - June 2009 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2000 - June 2009 · 9 yrs 2 mos
State Registrations19 states
AZCACOCTDCDEFLILMDNHNJNYORPATXUTVAWAWY
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.
More Advisors
More financial advisors in Boca Raton, FL →All financial advisors in Florida →