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Thomas Cassidy

Managing Director/Director at Oppenheimer & Co.

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

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Thomas Cassidy is Managing Director/Director of Oppenheimer & Co. Inc., a New York investment adviser managing $36.7B. Thomas Cassidy has a current broker registration and no current investment-adviser registration and has passed the Series 99 and SIE.

Role at Oppenheimer & Co.

Title on Schedule A
Managing Director/Director
Control
Thomas Cassidy is a control person of Oppenheimer & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Cassidy has held the filed role since March 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 99 and SIE · 2018

Registrations and exams

Broker registration; no current adviser registration. Thomas Cassidy has passed 2 qualifying exams.

Examinations

SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 9927 July 2018
Name
Operations Professional Examination

Individual record

Full name
Thomas Edward Cassidy
CRD
4502955
Firm
Oppenheimer & Co. 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 Thomas Cassidy work?

Thomas Cassidy has been Managing Director/Director of Oppenheimer & Co. Inc. since March 2025, and is a control person of the firm.

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

Does Thomas Cassidy have a current investment-adviser registration?

Thomas Cassidy 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 Thomas Cassidy passed?

Thomas Cassidy has passed 2 licensing exams: the Series 99 and SIE. The earliest, the Series 99, was passed in July 2018.

Source: IAPD individual record, checked 17 October 2026

Leadership at Oppenheimer & Co.

Sources

  1. IAPD individual record, CRD 4502955. 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.

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