Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Oppliger is a financial advisor at Oppenheimer & Co. Inc. in Stamford, Connecticut. Simon has been working in the financial industry since December 1991, and is registered with the state of Connecticut. Simon has expertise in financial planning, portfolio management for individuals and businesses, and pension consulting. Simon has been with Oppenheimer & Co. Inc. since January 2009. Prior to that, Simon worked at UBS Securities LLC and SBC WARBURG DILLON READ INC.
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
CT
06/30/2017 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
CT
06/29/1998 - 11/20/2008
UBS SECURITIES LLC (STAMFORD CT)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
01/03/1995 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
NY
10/16/1991 - 01/03/1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC. (NEW YORK NY)
IA
Issued 06/30/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/1995
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/27/1994
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1991
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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