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Scott Allen Sobol

Oppenheimer & Co. Inc.

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About Scott Allen Sobol

Scott Allen Sobol is a financial advisor with over 20 years of experience in the industry. Scott is currently registered with Oppenheimer & Co. Inc. Scott is a Registered Representative and Investment Advisor Representative and is licensed to provide financial advice in a number of states. Prior to his current role, Scott has held positions at Robert W. Baird & Co. Incorporated and Northwestern Mutual Investment Services, LLC. Scott is committed to providing his clients with personalized financial advice and investment strategies. Scott is a Series 6, 7, 63, 65, 99TO, and SIE licensed professional.

Firm Information

Scott Sobol is currently registered with Oppenheimer & Co. Inc.. OPPENHEIMER & CO. INC. is a corporation formed in 1954 and headquartered in NEW YORK, NY. The firm offers financial planning, pension consulting, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for pooled investment vehicles. The firm manages assets of over $1 billion to $10 billion for a diverse clientele that includes individuals, high net worth individuals, retirement plans, corporations, insurance companies, charitable organizations, and state or municipal government entities.
Oppenheimer & Co. Inc.

9475 HOLLY ROAD

GRAND BLANC, MI 48439

$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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Scott Sobol’s Registration & Firm History

MI

06/20/2017 - Present

Oppenheimer & Co. Inc. (GRAND BLANC MI)

WI

11/05/1999 - 01/29/2001

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

11/04/1999 - 08/10/2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

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Licenses & Designations

IA

Issued 6/20/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 1/6/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 1/2/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 7/17/2000

Series 7 - General Securities Representative Examination

BC

Issued 11/3/1999

Series 6 - Investment Company Products/Variable Contracts 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 are no public disclosures for Scott Allen Sobol.
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