Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maurice? Claim Your ProfileMaurice Gordon Stuffmann is an investment advisor representative with Oppenheimer & Co. Inc. and Oppenheimer Asset Management. Maurice Gordon Stuffmann has been in the securities industry since 1970. Maurice Gordon Stuffmann is registered with FINRA and holds the Series 3, 4, 5, 7TO, 12, 40, 63 and 65 licenses. Maurice Gordon Stuffmann is also registered as an investment advisor representative in several states, including Arizona, California, and Texas. The firm provides financial planning, pension consulting, and portfolio management services.
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
TX
02/01/2011 - Present
Oppenheimer & Co. Inc. (FORT WORTH TX)
NY
11/09/2001 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
02/01/2000 - 11/23/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
12/01/1997 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
CA
09/19/1995 - 12/04/1997
DABNEY/RESNICK/IMPERIAL, LLC (BEVERLY HILLS CA)
CA
01/17/1994 - 09/13/1995
MITCHUM, JONES & TEMPLETON, INC. (SAN FRANCISCO CA)
CA
11/21/1989 - 12/02/1993
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
03/02/1984 - 11/18/1989
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
CA
11/07/1988 - 11/16/1989
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
NA
03/06/1970 - 03/13/1984
SUTRO & CO. INCORPORATED
IA
Issued 02/08/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/06/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/1998
Series 4 - Registered Options Principal Examination
BC
Issued 05/16/1977
Series 40 - Registered Principal Examination
BC
Issued 04/21/1975
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2003
Series 3 - National Commodity Futures Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/29/1968
Series 1 - Registered 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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