David Naert

Oppenheimer & Company

1 N. Brentwood Blvd
Suite 600

Clayton, MO 63105

314-746-2540

About Oppenheimer & Company

Oppenheimer & Co. Inc. ("Oppenheimer") is a leading investment bank and full-service investment firm that provides financial services and advice to high net worth investors, individuals, businesses and institutions. For over 125 years, we have provided investors with the necessary expertise and insight to meet the challenge of achieving their financial goals. Our commitment to our clients' investment needs, our experienced and dedicated professionals, and our proud tradition empower us to deliver effective and innovative solutions to our clients.

General Information

Firm Start Year

1921

No.of Employees

2000-4999

CRD#

1532335

Name of Broker/Dealer

Oppenheimer & Co.

States Licensed in

AL, AZ, CA, CO, CT, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MI, MN, MO, MS, NC, NE, NJ, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WY

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

Became a financial consultant right out of college in 1985 starting with PaineWebber. Moved to Oppenheimer in 1994.

Work with the following types of clients

Non-Profit Organizations, Individual Investors, Businesses

Advisory Services Provided

Tax Advice and Services, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Money Management, 401K Rollovers, Retirement Planning, Portfolio Management, Estate Planning & Trusts, Financial Advice & Consulting, Annuities, Insurance Planning, Wealth Management

Services

Investment Types

Insurance, Mutual Funds, FOREX & Currency, Options & Futures, Bonds, Stocks, Annuities, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI)

Can meet clients in the following ways

Via Phone, Your Home, Our Office, Video Conference, Your Office

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Securities Licenses

Series 23, Series 65, Series 63, Series 7, Series 6, Series 4

Insurance and Annuity Licenses

Disability, Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life

Firm Information

Firm's Number of Clients

200,000+

Assets Managed by Firm

$150,000,000

Advisor's Number of Clients

1000

Advisor's Number of Managed Clients

800

Advisor's Number of Planning Clients

950

Assets Managed by Advisor

$500,00,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$500,000

Fee % Based on Assets

1.0

Education

Finance Degree - Finance

University of Missouri Columbia
6/1981 - 12/1985

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