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Susan Mitchell

Oppenheimer & CO. INC.
45 Years of Experience
Denver, CO
1 DisclosureBroker
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Susan Mitchell is a registered investment advisor at Oppenheimer & CO. INC., based in Denver, CO, with 45 years of industry experience. Susan 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

3200 Cherry Creek South Drive, Suite 310, Denver, CO, 80209

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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.
Employment Separation After Allegations
March 2012
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
April 2012 - Present · 14 yrs 6 mos
Oppenheimer & CO. INC.Broker
April 2012 - Present · 14 yrs 6 mos
Previous Registrations
RBC Capital Markets, LLCBroker
November 2002 - March 2012 · 9 yrs 4 mos
RBC Capital Markets, LLC
November 2002 - March 2012 · 9 yrs 4 mos
U.S. Bancorp Piper Jaffray INC.
January 1999 - December 2002 · 3 yrs 11 mos
U.S. Bancorp Piper Jaffray INC.Broker
November 1994 - December 2002 · 8 yrs 1 mo
Prudential Securities IncorporatedBroker
November 1983 - December 1994 · 11 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1981 - November 1983 · 2 yrs 4 mos
State Registrations17 states
AKAZCACOCTDCFLILMNNJNYOHORTNVAWAWY
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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