Joseph Stein
Joseph Stein is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 59 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
666 3rd Avenue, New York, NY, 10017
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
October 2024Other Business Activities
Joseph is a board member and president of his residential co-op, spending minimal time on budget and maintenance matters. He also serves as a trustee or co-trustee for several family trusts and co-owns a timber company with family members, dedicating minimal time to these activities.
Employment History
Current Registrations
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Neuberger Berman LLC
Neuberger Berman LLCBroker
Dresdner Kleinwort Wasserstein - Grantchester, INC.Broker
First Manhattan COBroker
State Registrations19 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.