Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ethan? Claim Your ProfileEthan Simeon Fingerer is a registered representative with Oppenheimer & Co. Inc., which is headquartered in New York, NY. Ethan has been in the financial industry since December 20, 1992 and has held previous roles at RBC Capital Markets, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley DW Inc., Paine Webber Incorporated and Prudential Securities Incorporated. Ethan holds the Series 63, 65, 7 and SIE licenses. Ethan's practice focuses on individual investors, high net worth individuals, corporations, retirement plans, pension plans, pooled investment vehicles and insurance companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
01/30/2015 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
05/23/2008 - 02/19/2015
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
08/24/2001 - 05/30/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HEWLETT NY)
NY
09/16/1998 - 08/27/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
07/08/1994 - 09/21/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/21/1992 - 07/14/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 01/13/1993
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/11/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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