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Jane Wasserstrom

Oppenheimer & CO. INC.
46 Years of Experience
New York, NY
2 DisclosuresBroker
View SEC Summary
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Jane Wasserstrom is a registered investment advisor at Oppenheimer & CO. INC., based in New York, NY, with 46 years of industry experience. Jane 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

666 3rd Avenue, New York, NY, 10017

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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.
Employment Separation After Allegations
February 2018
Customer Dispute
July 2011
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
October 2021 - Present · 5 yrs
Oppenheimer & CO. INC.Broker
April 2018 - Present · 8 yrs 6 mos
Previous Registrations
UBS Financial Services INC.Broker
March 2006 - March 2018 · 12 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - April 2006 · 1 mo
Advest, INC.Broker
June 2002 - March 2006 · 3 yrs 9 mos
Lebenthal & CO., INC.Broker
October 1981 - June 2002 · 20 yrs 8 mos
First Investors CorporationBroker
August 1979 - August 1981 · 2 yrs
State Registrations20 states
AZCACTDCDEFLGAILMEMINCNHNJNVNYPARISCTXVA
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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