Joseph Stein
Joseph Stein is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 60 years of industry experience. Joseph 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 (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.
Exams
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