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Dominic Valentino

Chief Compliance Officer at Oppenheimer & Co.

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

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Dominic Valentino is Chief Compliance Officer of Oppenheimer & Co. Inc., a New York investment adviser managing $36.7B. Dominic Valentino has a current broker registration and no current investment-adviser registration and has passed the Series 14 and SIE.

Role at Oppenheimer & Co.

Title on Schedule A
Chief Compliance Officer
Control
Dominic Valentino is a control person of Oppenheimer & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Dominic Valentino has held the filed role since October 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 14 and SIE · 2025

Registrations and exams

Broker registration; no current adviser registration. Dominic Valentino has passed 2 qualifying exams.

Examinations

Series 143 August 2025
Name
Compliance Officer Examination
SIE16 August 2025
Name
Securities Industry Essentials Examination

Individual record

Full name
Dominic Thomas Valentino
CRD
6940515
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

Dominic (Dom) Valentino is Oppenheimer’s chief compliance officer. Official firm biography

Education

Common questions

Where does Dominic Valentino work?

Dominic Valentino has been Chief Compliance Officer of Oppenheimer & Co. Inc. since October 2025, and is a control person of the firm.

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

Does Dominic Valentino have a current investment-adviser registration?

Dominic Valentino 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 Dominic Valentino passed?

Dominic Valentino has passed 2 licensing exams: the Series 14 and SIE. The earliest, the Series 14, was passed in August 2025.

Source: IAPD individual record, checked 18 October 2026

Leadership at Oppenheimer & Co.

Sources

  1. IAPD individual record, CRD 6940515. 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 Dominic Valentino or Oppenheimer & Co. Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.