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Raymond Martin Faupel

Oppenheimer & Co. Inc.

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About Raymond Martin Faupel

Raymond Martin Faupel is a Registered Representative and Investment Advisor Representative at Oppenheimer & Co. Inc. with over 53 years of experience in the financial industry. Raymond holds several industry licenses and is registered in several states. Before Oppenheimer & Co. Inc., Raymond was employed at various financial firms such as CIBC WORLD MARKETS CORP., LEHMAN BROTHERS INC., and DREXEL BURNHAM LAMBERT INCORPORATED. Raymond provides financial planning, portfolio management for individuals and businesses, and selection of other advisors services.

Firm Information

Raymond Faupel 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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Raymond Faupel’s Registration & Firm History

MO

01/03/2003 - Present

Oppenheimer & Co. Inc. (CHESTERFIELD MO)

NY

06/29/1992 - 01/03/2003

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NA

07/28/1992 - 04/18/1995

OPPENHEIMER & CO., INC.

NY

05/22/1989 - 06/25/1992

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

02/09/1987 - 06/06/1989

DREXEL BURNHAM LAMBERT INCORPORATED

NA

10/18/1973 - 02/13/1987

R. ROWLAND & CO., INCORPORATED

NA

09/24/1973 - 02/09/1974

THOMSON MCKINNON SECURITIES INC.

NA

11/13/1969 - 11/02/1973

KOHLMEYER & CO.

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Licenses & Designations

IA

Issued 04/10/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/18/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/02/1977

PC - AMEX Put and Call Exam

BC

Issued 07/25/1968

Series 1 - Registered 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 Raymond Martin Faupel. Review regulatory record here.
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