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Michael Hoctor

Oppenheimer & CO. INC.
48 Years of Experience
Houston, TX
1 DisclosureBroker
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Michael Hoctor is a registered investment advisor at Oppenheimer & CO. INC., based in Houston, TX, with 48 years of industry experience. Michael 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

711 Louisiana Street, 15th Floor, Houston, TX, 77002

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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
August 1987
Pending
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
August 2005 - Present · 21 yrs 2 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 & CO., INC.Broker
April 1988 - April 1995 · 7 yrs
Cibc World Markets CORP.Broker
April 1982 - January 2003 · 20 yrs 9 mos
Dean Witter Reynolds INC.Broker
November 1979 - August 1982 · 2 yrs 9 mos
Ids Life Insurance CompanyBroker
August 1978 - November 1979 · 1 yr 3 mos
Ids Marketing CorporationBroker
August 1978 - November 1979 · 1 yr 3 mos
Investors Diversified Services, INC.Broker
August 1978 - November 1979 · 1 yr 3 mos
State Registrations14 states
ALAZCACODCFLINMINCNVNYORSCTX
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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