Niva WealthLet’s talk

Robert Lowenthal

CEO-President-Director at Oppenheimer & Co.

Investment adviser and broker registrationsNew York, NYSEC record checked 17 October 2026

25
Years in the industry
21
Years at the firm
1
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Robert Lowenthal is CEO-President-Director of Oppenheimer & Co. Inc., a New York investment adviser managing $36.7B. Robert Lowenthal has been registered through Oppenheimer & Co. since 17 October 2005, has 25 years in the industry across 1 firm and has passed 12 licensing exams.

Role at Oppenheimer & Co.

Title on Schedule A
CEO-President-Director
Control
Robert Lowenthal is a control person of Oppenheimer & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Robert 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

Robert Lowenthal has been registered through Oppenheimer & Co. since October 2005.

Firms and exams, newest first
  1. Passed Series 99TO · 2024
  2. Passed Series 10, Series 57TO, Series 79TO and Series 52TO · 2023
  3. Passed SIE · 2018
  4. Passed Series 53 · 2012
  5. Passed Series 3 · 2008
  6. Oppenheimer & Co. Inc.Current
    – present · 21 years
    New York, NY · Adviser representative · Firm CRD 249
  7. Passed Series 24 · 2002
  8. Passed Series 66 and Series 55 · 2001
  9. Passed Series 7 · 2000

Registrations and exams

Robert Lowenthal has a current investment-adviser registration in New Jersey and New York and has passed 12 qualifying exams.

New Jersey17 October 2005
Scope
Investment adviser representative
Status
Approved
New York7 April 2021
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6612 January 2001
Name
Uniform Combined State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 5316 July 2012
Name
Municipal Securities Principal Examination
Series 2419 August 2002
Name
General Securities Principal Examination
Series 99TO1 October 2024
Name
Operations Professional Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 329 May 2008
Name
National Commodity Futures Examination
Series 5523 February 2001
Name
Limited Representative-Equity Trader Exam
Series 720 November 2000
Name
General Securities Representative Examination

Individual record

Full name
Robert Steven Lowenthal
CRD
1639913
Firm
Oppenheimer & Co. Inc.
Registration status
Investment adviser and broker registrations
Office
85 BROAD STREET, 23RD FLOOR, New York, NY 10004
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

President and chief executive officer of Oppenheimer Holdings and Oppenheimer & Co. He joined the firm in 1999 and has served on its board since 2013. Oppenheimer official Executive Management page

Education

Common questions

Where does Robert Lowenthal work?

Robert Lowenthal has been CEO-President-Director of Oppenheimer & Co. Inc. since May 2025, and is a control person of the firm.

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

Is Robert Lowenthal a financial advisor?

Yes. Robert Lowenthal has a current investment-adviser registration in New Jersey and New York, through Oppenheimer & Co. since October 2005, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Robert Lowenthal have?

Robert Lowenthal has worked in the financial industry for 25 years as of 17 October 2026, counted from 20 November 2000, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has Robert Lowenthal passed?

Robert Lowenthal has passed 12 licensing exams: the Series 7, Series 66, Series 55, Series 24, Series 3, Series 53, SIE, Series 10, Series 57TO, Series 79TO, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in November 2000.

Source: IAPD individual record, checked 17 October 2026

Where is Robert Lowenthal based?

Robert Lowenthal’s registered office is in New York, NY.

Source: IAPD individual record, checked 17 October 2026

Leadership at Oppenheimer & Co.

Sources

  1. IAPD individual record, CRD 1639913. 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 Robert 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.