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Lawrence Wilkes

Oppenheimer & CO. INC.
56 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 56 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.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1135 advisors
Number of Clients
37,605 clients
Average Client Portfolio
$862K average
Assets Under Management
$32.4B

Fee Structure

Minimum Investment:$10K
Minimum Annual Fee:$250

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.

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.Broker
November 2012 - Present · 13 yrs 6 mos
Oppenheimer & CO. INC.
November 2012 - Present · 13 yrs 6 mos
Oppenheimer & CO. INC.
November 2012 - Present · 13 yrs 6 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 Registrations13 states
CACTFLILMAMENCNJNYPASCVTWA
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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