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Martin Waldman

Oppenheimer & CO. INC.
23 Years of Experience
Boca Raton, FL
8 DisclosuresBroker
View SEC Summary
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Martin Waldman is a registered investment advisor at Oppenheimer & CO. INC., based in Boca Raton, FL, with 23 years of industry experience. Martin 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

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History

Regulatory History (8)
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
October 2018
Settled
Customer Dispute
June 2017
Withdrawn
Customer Dispute
August 2016
Closed-No Action
Customer Dispute
April 2016
Denied
Customer Dispute
August 2015
Settled
Customer Dispute
December 2014
Denied
Customer Dispute
December 2008
Closed-No Action
Customer Dispute
March 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Martin is a board member and secretary of the Ferrari Club of America, Palm Beach Chapter, a non-profit organization for car enthusiasts. He spends minimal time on this volunteer activity, which is not investment related.

Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2018 - Present · 7 yrs 11 mos
Oppenheimer & CO. INC.Broker
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Raymond James & Associates, INC.
May 2009 - November 2018 · 9 yrs 6 mos
Raymond James & Associates, INC.Broker
May 2009 - November 2018 · 9 yrs 6 mos
Vision Investment Services, INC.Broker
August 2006 - May 2009 · 2 yrs 9 mos
Northern Trust Securities, INC
May 2003 - May 2009 · 6 yrs
Northern Trust Securities, INC.Broker
May 2003 - May 2009 · 6 yrs
State Registrations25 states
AZCACOCTFLGAIAILINLAMDNCNHNJNMNYOHORPASCTNTXVAVTWA
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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