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Albert Lowenthal

Executive Chairman-Director-Owns 100% of Phase II Fin'L at Oppenheimer & Co.

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
15
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Albert Lowenthal is Executive Chairman-Director-Owns 100% of Phase II Fin'L of Oppenheimer & Co. Inc., a New York investment adviser managing $36.7B. Albert Lowenthal has a current broker registration and no current investment-adviser registration and has passed 15 licensing exams.

Role at Oppenheimer & Co.

Title on Schedule A
Executive Chairman-Director-Owns 100% of Phase II Fin'L
Control
Albert Lowenthal is a control person of Oppenheimer & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Albert Lowenthal has held the filed role since May 2025.

The firm

Oppenheimer & Co. Inc.
New York, NY

Form ADV filed 30 September 2026

$36.7B AUM39,036 clients1,219 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 53, Series 9, Series 24, Series 10, Series 52TO, Series 7TO, Series 57TO and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 55 · 2000
  4. Passed Series 63 · 1980
  5. Passed Series 4 and PC · 1977
  6. Passed Series 40 · 1970
  7. Passed Series 1 · 1968

Registrations and exams

Broker registration; no current adviser registration. Albert Lowenthal has passed 15 qualifying exams.

Examinations

Series 6323 December 1980
Name
Uniform Securities Agent State Law Examination
Series 532 January 2023
Name
Municipal Securities Principal Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 242 January 2023
Name
General Securities Principal Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 413 September 1977
Name
Registered Options Principal Examination
Series 4015 October 1970
Name
Registered Principal Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
Series 7TO2 January 2023
Name
General Securities Representative Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5520 March 2000
Name
Limited Representative-Equity Trader Exam
PC13 September 1977
Name
AMEX Put and Call Exam
Series 125 March 1968
Name
Registered Representative Examination

Individual record

Full name
Albert Grinsfelder Lowenthal
CRD
313519
Firm
Oppenheimer & Co. Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Albert Lowenthal work?

Albert Lowenthal has been Executive Chairman-Director-Owns 100% of Phase II Fin'L of Oppenheimer & Co. Inc. since May 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Albert Lowenthal have a current investment-adviser registration?

Albert Lowenthal has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Albert Lowenthal passed?

Albert Lowenthal has passed 15 licensing exams: the Series 1, Series 40, Series 4, PC, Series 63, Series 55, SIE, Series 53, Series 9, Series 24, Series 10, Series 52TO, Series 7TO, Series 57TO and Series 99TO. The earliest, the Series 1, was passed in March 1968.

Source: IAPD individual record, checked 17 October 2026

Leadership at Oppenheimer & Co.

Sources

  1. IAPD individual record, CRD 313519. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Oppenheimer & Co. Inc., filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Albert Lowenthal or Oppenheimer & Co. Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.