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Rodney Nock

Oppenheimer & CO. INC.
45 Years of Experience
Fort Lauderdale, FL
1 DisclosureBroker
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Rodney Nock is a registered investment advisor at Oppenheimer & CO. INC., based in Fort Lauderdale, FL, with 45 years of industry experience. Rodney 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
—
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Location

100 South East 3rd Avenue, Suite 2100, Fort Lauderdale, FL, 33394

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History

Regulatory History (1)
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
November 2022
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
January 2003 - Present · 23 yrs 9 mos
Oppenheimer & CO. INC.
January 2003 - Present · 23 yrs 9 mos
Oppenheimer & CO. INC.Broker
January 2003 - Present · 23 yrs 9 mos
Previous Registrations
Oppenheimer Asset Management
April 2003 - December 2005 · 2 yrs 8 mos
Cibc World Markets CORP.
October 1995 - January 2003 · 7 yrs 3 mos
Oppenheimer & CO., INC.Broker
April 1988 - April 1995 · 7 yrs
Cibc World Markets CORP.Broker
September 1982 - January 2003 · 20 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1981 - September 1982 · 1 yr 6 mos
State Registrations24 states
CACODCFLGAIDILINLAMAMDMEMONCNENJNVNYOHPASCTNTXVA
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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