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Brad Watkins

Director-Executive Vice President-CFO at Oppenheimer & Co.

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Brad Watkins is Director-Executive Vice President-CFO of Oppenheimer & Co. Inc., a New York investment adviser managing $36.7B. Brad Watkins has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO and SIE.

Role at Oppenheimer & Co.

Title on Schedule A
Director-Executive Vice President-CFO
Control
Brad Watkins is a control person of Oppenheimer & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Brad Watkins has held the filed role since August 2022.

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 99TO and SIE · 2023
  2. Passed Series 27 · 2022

Registrations and exams

Broker registration; no current adviser registration. Brad Watkins has passed 3 qualifying exams.

Examinations

Series 2731 August 2022
Name
Financial and Operations Principal Examination
Series 99TO17 March 2023
Name
Operations Professional Examination
SIE17 March 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
Brad Michael Watkins
CRD
6319251
Firm
Oppenheimer & Co. Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
oppenheimer.com

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

Background

Brad Watkins serves as Oppenheimer’s chief financial officer and manages the firm’s financial operations. Official firm biography

Common questions

Where does Brad Watkins work?

Brad Watkins has been Director-Executive Vice President-CFO of Oppenheimer & Co. Inc. since August 2022, and is a control person of the firm.

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

Does Brad Watkins have a current investment-adviser registration?

Brad Watkins has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Brad Watkins passed?

Brad Watkins has passed 3 licensing exams: the Series 27, Series 99TO and SIE. The earliest, the Series 27, was passed in August 2022.

Source: IAPD individual record, checked 18 October 2026

Leadership at Oppenheimer & Co.

Sources

  1. IAPD individual record, CRD 6319251. 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.
  3. Oppenheimer & Co. team page. Biography, education, credentials, awards.

Retrieved 18 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 Brad Watkins or Oppenheimer & Co. Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.