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Peter Giordano

Managing Director-Chief Administrative Officer at Oppenheimer & Co.

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

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Peter Giordano is Managing Director-Chief Administrative Officer of Oppenheimer & Co. Inc., a New York investment adviser managing $36.7B. Peter Giordano has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Oppenheimer & Co.

Title on Schedule A
Managing Director-Chief Administrative Officer
Control
Peter Giordano is a control person of Oppenheimer & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Peter Giordano has held the filed role since January 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 57TO, Series 99TO, Series 3 and Series 24 · 2023
  2. Passed SIE · 2018
  3. Passed Series 10 and Series 9 · 2001
  4. Passed Series 7 and Series 63 · 1999

Registrations and exams

Broker registration; no current adviser registration. Peter Giordano has passed 9 qualifying exams.

Examinations

Series 6325 June 1999
Name
Uniform Securities Agent State Law Examination
Series 246 December 2023
Name
General Securities Principal Examination
Series 913 November 2001
Name
General Securities Sales Supervisor - Options Module Examination
Series 1029 August 2001
Name
General Securities Sales Supervisor - General Module Examination
Series 33 August 2023
Name
National Commodity Futures 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 711 May 1999
Name
General Securities Representative Examination

Individual record

Full name
Peter John Giordano
CRD
2921308
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

Peter Giordano serves as Oppenheimer’s chief administrative officer and previously led its trading technology and operations teams. Official firm biography

Education

Common questions

Where does Peter Giordano work?

Peter Giordano has been Managing Director-Chief Administrative Officer of Oppenheimer & Co. Inc. since January 2025, and is a control person of the firm.

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

Does Peter Giordano have a current investment-adviser registration?

Peter Giordano 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 Peter Giordano passed?

Peter Giordano has passed 9 licensing exams: the Series 7, Series 63, Series 10, Series 9, SIE, Series 57TO, Series 99TO, Series 3 and Series 24. The earliest, the Series 7, was passed in May 1999.

Source: IAPD individual record, checked 17 October 2026

Leadership at Oppenheimer & Co.

Sources

  1. IAPD individual record, CRD 2921308. 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 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 Peter Giordano or Oppenheimer & Co. Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.