TrueAdvisor
TrueAdvisor
RJ
RJ

Ralph Jones

Oppenheimer & CO. INC.
47 Years of Experience
Denver, CO
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Ralph Jones is a registered investment advisor at Oppenheimer & CO. INC., based in Denver, CO, with 47 years of industry experience. Ralph 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

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

Get directions

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
April 2017
Denied
Customer Dispute
June 1994
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
October 2009 - Present · 17 yrs
Oppenheimer & CO. INC.Broker
October 2009 - Present · 17 yrs
Oppenheimer & CO. INC.
October 2009 - Present · 17 yrs
Previous Registrations
UBS Financial Services INC.
August 2006 - October 2009 · 3 yrs 2 mos
UBS Financial Services INC.Broker
August 2006 - October 2009 · 3 yrs 2 mos
Piper Jaffray & CO.Broker
May 2005 - August 2006 · 1 yr 3 mos
Piper Jaffray & CO.
May 2005 - August 2006 · 1 yr 3 mos
RBC Dain Rauscher INC.
January 1999 - June 2005 · 6 yrs 5 mos
RBC Dain Rauscher INC.Broker
November 1998 - June 2005 · 6 yrs 7 mos
Wedbush Morgan Securities INC.Broker
November 1987 - November 1998 · 11 yrs
Newhard, Cook & CO. IncorporatedBroker
January 1979 - November 1987 · 8 yrs 10 mos
State Registrations18 states
ARAZCACODEFLIAILLAMDNMNVNYOKPATXVAWY
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.
More Advisors
More financial advisors in Denver, CO →All financial advisors in Colorado →