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.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.