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Lawrence Wilkes

Oppenheimer & CO. INC.
57 Years of Experience
Stamford, CT
2 DisclosuresBroker
View SEC Summary
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Lawrence Wilkes is a registered investment advisor at Oppenheimer & CO. INC., based in Stamford, CT, with 57 years of industry experience. Lawrence 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
1159 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

263 Tresser Blvd, Suite 500, Stamford, CT, 06901

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History

Regulatory History (2)
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.
Regulatory
August 2017
Final
Customer Dispute
September 2000
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lawrence is on the Board of Trustees of Temple Shalom, attending a few meetings per year. He also serves as trustee for his own revocable trust and his wife's irrevocable insurance trust since 2009.

Employment History
Current Registrations
Oppenheimer & CO. INC.
November 2012 - Present · 13 yrs 11 mos
Oppenheimer & CO. INC.
November 2012 - Present · 13 yrs 11 mos
Oppenheimer & CO. INC.Broker
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
UBS Financial Services INC.
February 2003 - November 2012 · 9 yrs 9 mos
UBS Financial Services INC.Broker
February 2003 - November 2012 · 9 yrs 9 mos
Salomon Smith Barney INC.
April 1999 - March 2003 · 3 yrs 11 mos
Salomon Smith Barney INC.Broker
July 1993 - March 2003 · 9 yrs 8 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
March 1973 - February 1988 · 14 yrs 11 mos
Abraham & CO., INC.Broker
August 1972 - April 1973 · 8 mos
Neuberger & BermanBroker
March 1972 - October 1972 · 7 mos
Bear, Stearns & CO.Broker
May 1969 - April 1972 · 2 yrs 11 mos
State Registrations16 states
CACTDCFLILMAMENCNJNYPASCTXVAVTWA
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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