CRD #249 · FINRA BrokerCheck + SEC IAPD

Oppenheimer & Co. Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oppenheimer & Co. Inc. ranks #18 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #8 of 868 on the same disclosure sort used on the state browse page. Oppenheimer & Co. Inc. carries 284 BrokerCheck disclosures across 630 branch offices - moderate load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
630
branch offices
284
disclosures
#18 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 249 Oppenheimer & Co. Inc.

Oppenheimer & Co. Inc. · Grade C · 284 disc · 0.45/office · Large firm

  • CRD 249
  • GRADE C
  • DISC 284
  • REG 103
  • ARB 180
  • CIV 1
  • BRANCH 630
  • PER-OFF 0.45
  • RANK #18 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Vanguard Marketing Corporation (0.34 disc/office)

Vanguard Marketing Corp…0.34Janney Montgomery Scott…0.57Stifel, Nicolaus & Comp…0.33Oppenheimer & Co. Inc. (this)0.45
Disclosures per office among large firm peers (lower is cleaner)

Oppenheimer & Co. Inc. ranks #18 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.45 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

630 offices

FINRA: Large firm

Total disclosures

284 events

On FINRA BrokerCheck

Regulatory events

103 actions

36% of all disclosures

Disclosures per office

0.45 per office

284 ÷ 630 offices

Oppenheimer & Co. Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 103
Arbitrations 180
Civil Events 1
Total 284

Counts for Oppenheimer & Co. Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 103 Arbitration 180 Civil 1

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10004
Formed
12/23/1954
State of Formation
New York
CRD Number
249
SEC Number
4077

Heavy disclosure book

Oppenheimer & Co. Inc. in the heavier-disclosure third

Oppenheimer & Co. Inc. carries 284 BrokerCheck disclosures across 630 branch offices - a heavier-third raw book among graded firms (#18 of 20,055). Mix is 103 regulatory, 180 arbitration, and 1 civil (36% regulator share).

Oppenheimer & Co. Inc. ranks #18 of 20,055 by BrokerCheck disclosure count among graded firms (284 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Oppenheimer & Co. Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 32× state average

Oppenheimer & Co. Inc. sits above the New York disclosure average

Oppenheimer & Co. Inc. reports 284 BrokerCheck disclosures, 32× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Oppenheimer & Co. Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Oppenheimer & Co. Inc. ranks #18 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #8 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Oppenheimer & Co. Inc.?
A grade of C reflects Oppenheimer & Co. Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 284 total disclosures across 630 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Oppenheimer & Co. Inc. have?
Oppenheimer & Co. Inc. has 284 total FINRA disclosures, including 103 regulatory events, 180 arbitrations, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Oppenheimer & Co. Inc.?
Oppenheimer & Co. Inc. operates 630 branch offices and is classified by FINRA as a large firm, registered in NY (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Oppenheimer & Co. Inc.'s disciplinary record?
You can verify Oppenheimer & Co. Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 249. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Oppenheimer & Co. Inc.'s 284 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Oppenheimer & Co. Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Oppenheimer & Co. Inc. carries 284 disclosures across 630 branch offices (about 0.45 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Oppenheimer & Co. Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.