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John Ogden

Oppenheimer & CO. INC.
45 Years of Experience
Newport Beach, CA
2 DisclosuresBroker
View SEC Summary
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John Ogden is a registered investment advisor at Oppenheimer & CO. INC., based in Newport Beach, CA, with 45 years of industry experience. John 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
—
View Full SEC Brochure

Location

680 Newport Center Drive, Suite 200, Newport Beach, CA, 92660

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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.
Customer Dispute
November 2009
Settled
Customer Dispute
December 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John serves as a trustee for a personal family trust. This requires minimal time.

Employment History
Current Registrations
Oppenheimer & CO. INC.Broker
May 2010 - Present · 16 yrs 5 mos
Oppenheimer & CO. INC.
May 2010 - Present · 16 yrs 5 mos
Oppenheimer & CO. INC.
May 2010 - Present · 16 yrs 5 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - June 2010 · 1 yr
Morgan Stanley Smith BarneyBroker
June 2009 - June 2010 · 1 yr
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
November 1981 - February 1988 · 6 yrs 3 mos
Titan Capital CorporationBroker
October 1981 - November 1981 · 1 mo
University Securities CorporationBroker
August 1981 - October 1981 · 2 mos
State Registrations24 states
AZCACODCFLIDMAMDMIMNMONCNJNMNVNYOHORSCTXUTVAWAWY
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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