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Mark Montuschi

Chief Operations Officer at Oppenheimer Asset Management

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

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Mark Montuschi is Chief Operations Officer of Oppenheimer Asset Management Inc., a New York investment adviser managing $21.3B. Mark Montuschi has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 55, SIE and Series 57TO.

Role at Oppenheimer Asset Management

Title on Schedule A
Chief Operations Officer
Control
Mark Montuschi is not a control person of Oppenheimer Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Mark Montuschi has held the filed role since March 2020.

The firm

Oppenheimer Asset Management Inc.
New York, NY

Form ADV filed 30 September 2026

$21.3B AUM43,537 clients129 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 55 · 2009
  4. Passed Series 7 · 2002

Registrations and exams

Broker registration; no current adviser registration. Mark Montuschi has passed 4 qualifying exams.

Examinations

Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5524 September 2009
Name
Limited Representative-Equity Trader Exam
Series 717 December 2002
Name
General Securities Representative Examination

Individual record

Full name
Mark Ercole Montuschi
CRD
2897166
Firm
Oppenheimer Asset Management 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 Mark Montuschi work?

Mark Montuschi has been Chief Operations Officer of Oppenheimer Asset Management Inc. since March 2020.

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

Does Mark Montuschi have a current investment-adviser registration?

Mark Montuschi 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 Mark Montuschi passed?

Mark Montuschi has passed 4 licensing exams: the Series 7, Series 55, SIE and Series 57TO. The earliest, the Series 7, was passed in December 2002.

Source: IAPD individual record, checked 17 October 2026

Leadership at Oppenheimer Asset Management

  • Peter Cadaret
    President
  • Brad Michael Watkins
    Senior Vice President-CFO
  • Robert Steven Lowenthal
    CEO/Director
  • Albert Grinsfelder Lowenthal
    Executive Chairman/Director
  • Bryan McKigney
    Director
  • Dennis Patrick McNamara
    Secretary/Director
  • Svetlana Milina
    Chief Legal Officer
  • Brian Roth
    Ia-CCO
  • Dominic Thomas Valentino
    Managing Director - Compliance

Sources

  1. IAPD individual record, CRD 2897166. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Oppenheimer Asset Management 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 Mark Montuschi or Oppenheimer Asset Management Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.