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AS
CFA
AS
CFA

Adam Sands

Oppenheimer & CO. INC.
16 Years of Experience
New York, NY
Broker
View SEC Summary
View SEC Summary

Adam Sands is a CFA-designated registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 16 years of industry experience. Adam 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

85 Broad Street, 26th Flr, New York, NY, 10004

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Oppenheimer & CO. INC.
July 2023 - Present · 3 yrs 3 mos
Oppenheimer & CO. INC.Broker
July 2023 - Present · 3 yrs 3 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
May 2021 - September 2021 · 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
March 2019 - September 2021 · 2 yrs 6 mos
First Empire Securities, INC.Broker
November 2017 - March 2019 · 1 yr 4 mos
Incapital LLCBroker
March 2017 - November 2017 · 8 mos
Kimberlite Advisors, LLCBroker
August 2015 - February 2017 · 1 yr 6 mos
Kpmg Corporate Finance LLCBroker
March 2014 - July 2015 · 1 yr 4 mos
Scott-Macon Securities, INC.Broker
October 2013 - March 2014 · 5 mos
D.A. Davidson & CO.Broker
February 2012 - April 2013 · 1 yr 2 mos
Mcgladrey Capital Markets, LLCBroker
December 2010 - March 2012 · 1 yr 3 mos
Grubb & Ellis Securities, INC.Broker
February 2008 - November 2010 · 2 yrs 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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