Austin, TX S. Mopac Expressway Office
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Oppenheimer
Enterprise
Firm-wide stats for Oppenheimer
About
Oppenheimer is a registered investment adviser and broker-dealer that serves individuals (including high net worth clients), corporations, pension and profit‑sharing plans, charitable organizations, pooled investment vehicles and IRAs. The firm offers a broad set of programs — including Fahnestock Asset Management (FAM), Alpha, consulting and retirement services, Preference and financial planning — delivered on both discretionary and non‑discretionary bases.
Advisory services span equity, balanced and fixed‑income portfolios and use strategic and tactical asset allocation, manager selection and periodic portfolio reviews; suitability reviews and branch manager oversight are part of the account‑approval and monitoring process. Consulting and retirement engagements are typically non‑discretionary and involve development of investment policy statements, asset allocation guidance and performance reporting tailored to each client’s objectives.
What is noteworthy compared with many enterprise peers is that Oppenheimer maintains custody of client assets as a qualified custodian while also operating its broker‑dealer and advisory businesses, and it reports a larger share of its advisory assets as non‑discretionary (about $22.48 billion of $36.71 billion managed). The firm also operates commission‑based advisory programs (for example, certain FAM and Alpha accounts) and runs a firm sweep program for uninvested cash that generates additional compensation to the firm, a potential conflict disclosed in its brochure.
Based on Oppenheimer
Expertise
Based on Oppenheimer
Location
901 S. Mopac Expressway, Building 3, Suite 320
Austin TX 78746
Advisors at this office
4
Advisors at this office
Diane L
Series 63, Series 66
Austin, TX
Oppenheimer
Diane Lacina is a financial advisor at Oppenheimer with 27 years of industry experience. She holds Series 63 and Series 66 licenses and has worked at Oppenheimer since 2017, following eight years at Southwest Securities, Inc. and three years at Merrill. Oppenheimer is a registered investment adviser and broker-dealer serving individuals, corporations, pension plans, and charitable organizations. The firm provides a broad range of investment and consulting services across equity, balanced, and fixed-income portfolios, with a significant focus on non-discretionary advisory assets.
Sue Anna P
Series 63, Series 66
Austin, TX
Oppenheimer
Sue Anna Piedra is a financial advisor with Oppenheimer in Austin, TX, holding Series 63 and Series 66 credentials and 22 years of industry experience. She has worked at Oppenheimer since 2019 and previously spent 15 years at Merrill. Oppenheimer is a registered investment adviser and broker-dealer serving individuals, corporations, pension plans, charitable organizations, and other clients. The firm offers a broad range of advisory programs and investment services, including discretionary and non-discretionary management, consulting, and retirement planning.
Barry L
Series 66
Austin, TX
Oppenheimer
Barry Lacina is a financial advisor at Oppenheimer with nine years of industry experience. He holds a Series 66 designation and has been with Oppenheimer since 2017, following eight years as a self-employed professional. Outside of finance, he is the owner and member of Happyness Films, LLC, a film production company. Oppenheimer serves individuals, corporations, pension and profit-sharing plans, and charitable organizations, offering a broad range of advisory and broker-dealer services including discretionary and non-discretionary investment management, consulting, and retirement planning.
Kip R
Series 63, Series 65, Series 66
Austin, TX
Oppenheimer
Kip Reagor is a financial advisor with Oppenheimer, holding Series 63, 65, and 66 designations and 34 years of industry experience. He has been with Oppenheimer & Co since 2002. Outside of his advisory role, he owns and manages a water cooler rental business. Oppenheimer serves a broad client base, including individuals, corporations, pension plans, and charitable organizations, offering a range of investment programs and advisory services that include discretionary and non-discretionary management, strategic asset allocation, and retirement consulting.
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