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Joseph Popp

Oppenheimer & CO. INC.
45 Years of Experience
New York, NY
6 DisclosuresBroker
View SEC Summary
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Joseph Popp is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 45 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.

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

666 3rd Avenue, New York, NY, 10017

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History

Regulatory History (6)
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.
Criminal
December 2014
Final Disposition
Criminal
June 2006
Final Disposition
Customer Dispute
April 2003
Settled
Customer Dispute
June 2002
Settled
Criminal
October 1997
Final Disposition
Customer Dispute
March 1988
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph is an Arizona election poll observer with the GOP. This activity is not investment-related.

Employment History
Current Registrations
Oppenheimer & CO. INC.
July 2009 - Present · 17 yrs 3 mos
Oppenheimer & CO. INC.Broker
May 2008 - Present · 18 yrs 5 mos
Previous Registrations
UBS Financial Services INC.Broker
November 1982 - May 2008 · 25 yrs 6 mos
First Jersey Securities, INC.Broker
October 1980 - October 1982 · 2 yrs
State Registrations25 states
AZCACOCTDCDEFLILMDMNNCNENJNYOHOKPAPRRISCTNTXVAWAWI
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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