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Karen Schwocho-tunnecliffe

Oppenheimer & Co. Inc.

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About Karen Schwocho-tunnecliffe

Karen Schwocho-Tunnecliffe is a financial advisor with Oppenheimer & Co. Inc., working in the Birmingham, MI area. Karen has been in the financial industry since 1998 and has worked at several firms including J.P. Morgan Securities LLC, Morgan Stanley, Comerica Securities, Equity Services, Inc., and Cetera Advisors LLC. Karen holds the Series 7, 9, 10, 24, 63, 66, 99TO, and SIE licenses and is registered to provide investment advisory services in Michigan, New York, North Carolina and Texas. Karen's investment advisory experience focuses on providing financial planning, pension consulting and selection of other advisors for businesses and individuals.

Firm Information

Karen Schwocho-tunnecliffe is currently registered with Oppenheimer & Co. Inc.. Oppenheimer & Co. Inc. is a corporation formed in December 1954 and headquartered in New York City. The firm provides a range of advisory services, including financial planning, pension consulting, selection of other advisors, portfolio management for businesses, individuals, and pooled investment vehicles. Oppenheimer & Co. Inc. manages approximately $1 billion to $10 billion in assets for a diverse clientele, including individuals, corporations, institutions, and government entities. The firm is registered with the SEC and in all 50 states.
Oppenheimer & Co. Inc.

85 BROAD STREET

NEW YORK, NY 10004

$27.45B

Assets Under Management

Not reported

Total Clients

1,429

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Karen Schwocho-tunnecliffe’s Registration & Firm History

MI

09/09/2024 - Present

Oppenheimer & Co. Inc. (BIRMINGHAM MI)

MI

06/15/2023 - 11/08/2023

J.P. MORGAN SECURITIES LLC (GROSSE POINTE MI)

MI

06/16/2021 - 06/02/2023

MORGAN STANLEY (Birmingham MI)

MI

01/03/2019 - 02/16/2021

COMERICA SECURITIES (BLOOMFIELD HILLS MI)

MI

12/14/2017 - 06/18/2018

EQUITY SERVICES, INC. (TROY MI)

MI

10/29/2014 - 11/03/2017

CETERA ADVISORS LLC (NOVI MI)

MA

10/01/2010 - 05/06/2014

NEW ENGLAND SECURITIES (BOSTON MA)

MA

04/28/2011 - 07/02/2013

METLIFE SECURITIES INC. (SPRINGFIELD MA)

MI

12/05/2006 - 10/04/2010

METLIFE SECURITIES INC. (TROY MI)

MI

12/05/2006 - 07/09/2007

METROPOLITAN LIFE INSURANCE COMPANY (TROY MI)

GA

09/26/2005 - 03/02/2006

FSC SECURITIES CORPORATION (ATLANTA GA)

SC

09/26/2002 - 09/09/2005

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

TX

10/10/2000 - 07/12/2002

VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)

TX

10/10/2000 - 12/31/2001

THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)

NY

04/06/1999 - 11/09/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

GA

07/08/1998 - 03/29/1999

FSC SECURITIES CORPORATION (ATLANTA GA)

SC

01/02/1997 - 07/20/1998

LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)

NE

09/20/1996 - 01/07/1997

SECURITIES AMERICA, INC. (LAVISTA NE)

CA

05/23/1996 - 09/18/1996

GOLD SECURITIES CORP. (SAN FRANCISCO CA)

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Licenses & Designations

BOTH

Issued 01/04/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/29/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/02/1999

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 12/19/1996

Series 24 - General Securities Principal Examination

BC

Issued 02/20/2024

Series 99TO - Operations Professional Examination

BC

Issued 06/18/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/22/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Karen Schwocho-tunnecliffe. Review regulatory record here.
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