OPPENHEIMER - Key Persons
Mr. Oughtred joined the Board in 1979. Mr. Oughtred, now retired, was Counsel from January 1, 2009 to May 31, 2009 and prior to December 31, 2008 a Partner at Borden Ladner Gervais LLP (law firm). Mr. Oughtred practiced corporate law. Mr. Oughtred brings strong governance, legal, business and financial industry knowledge to our Board, important to the oversight of the Company's financial reporting, enterprise and operational risk management and governance policy. Mr. Oughtred is a director of CI Financial Corp., the shares of which are listed on the Toronto Stock Exchange, and Belmont House. Mr. Oughtred is certified as an Institute of Corporate Directors (Canada) certified director (ICD.D). Mr. Oughtred is Chairman of our Nominating and Corporate Governance Committees and a member of the Compensation and Compliance Committees.
Name: Al Fleitas Title: Managing Director | General Municipal, Short-term Notes Address 130 Bellevue Ave Suite 215 Newport, RI 02840 Click to open address in a new window on Google Maps Contact (401) 841-8430 al.fleitas@opco.com Hide Bio
Mr. Lowenthal joined the Board in 1985. Mr. Lowenthal is Chairman of the Board and Chief Executive Officer of the Company, positions he has held since 1985. Mr. Lowenthal has worked in the securities industry since 1967. Mr. Lowenthal's extensive experience in the securities industry and as Chief Executive of our Company gives him unique insights into the Company's challenges, opportunities and operations. Since his arrival at the Company, Mr. Lowenthal has built the Company through acquisition and organic growth taking stockholders' equity from $5 million to $513 million at December 31, 2016. Mr. Lowenthal is R.S. Lowenthal's father.
Name: Beth Coolidge Title: Managing Director | Head of Public Finance Address 500 W Madison Suite 3800 Chicago IL 60661 Click to open address in a new window on Google Maps Contact (312) 360-5623 Elizabeth.Coolidge@opco.com Hide Bio
Job Titles:
- Chief Financial Officer
- Executive Vice President
- Member of the Management Committee
As Chief Financial Officer, Brad manages all aspects of Oppenheimer's financial operations and directs the firm's long-term budgetary planning and cost management to ensure alignment with strategic growth plans. Prior to joining Oppenheimer, Brad spent approximately nineteen years at KPMG, where he launched and grew his career. While at KPMG, he served a variety of clients including a large, multinational financial institution, as well as both clearing and introducing broker-dealers. Brad's expertise in providing audit services to the country's largest financial services organizations ensures that we, as a firm, will focus on the quality and efficiency of our operating model to drive growth in an evolving business and market landscape.
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
In a distinguished career of over 30 years, Brian has built a record of accomplishment at several leading firms in the financial services industry. First as a Financial Professional, and for the past 25 years as a branch and area manager, he has always put clients and those he has led first.
Brian is a driven professional, committed to ethical and effective business practices. He combines comprehensive financial and personal skills with his positive attitude, which enables him to work with clients of all types at a high level.
His abilities to help Financial Professionals grow their business is aided by strong presentation and analytical skills and his strength in connecting personally. Brian has a talent for persuading senior leadership and Financial Professionals alike to work with him to help address goals.
He has a track record of collaboration and leadership, to overcome geographic constraints, improve client and Financial Professionals attitudes, and is reliably deft with time limitations. As a coach and leader, he helps Financial Professionals develop their innate talents, assists them in improving their skills, and encourages them to gain additional certifications without losing focus on their business. He is simultaneously a leader and a team player.
Brian earned his Bachelor's degree in economics from Bloomsburg University, and he holds FINRA registrations for the General Sales Supervisor Examination (Series 8), the General Securities Representative License (Series 7), the Uniform Securities Agent State Law Examination (Series 63) and the Uniform Investment Adviser Law Examination (Series 65), and the National Commodity Futures Examination (Series 3). He is also licensed as an agent for Life and Health Insurance in the state of Florida.
Brian is actively involved in his community through Boy Scouts of America, Garden's Athletics and Jupiter First Church. He coaches youth sports, fishes, skis, plays tennis and golf. He also enjoys music and theatre.
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Job Titles:
- Member of the Management Committee
- President
Before Bryan joined Oppenheimer in 2003, he was employed by the Chase Manhattan Bank (1981- 1993) and the Canadian Imperial Bank of Commerce (1993- 2003). During his tenure at CIBC, Bryan was a Managing Director in the Capital Markets Derivative Products Division. In 1999, he joined CIBC's Asset Management Division as its head of Administration. In 1999, Bryan was asked to join the Boards of Advantage Advisers India Fund (NYSE), Mexico Equity and Income Fund (NYSE) and the Asia Tigers (NYSE) closed end funds. Within Oppenheimer, he serves as Chair of the OAM Operating Committee, as a Board member of Oppenheimer Trust Company of Delaware (OTCDE) and is also a member of the Firm's Management, Brokerage, Credit, New Product and Risk Committees. In addition, Bryan serves as Chairman of the registered Advantage Advisers Xanthus Fund LLC. He earned a BA in Economics from the State University of New York at Albany in 1980.
Job Titles:
- Managing Director I General Municipal
Name: Chris Collier Title: Managing Director I General Municipal Address One N. Brentwood Blvd. Suite 600 St. Louis, MO 63105 Click to open address in a new window on Google Maps Contact (314) 746-2522 christopher.collier@opco.com Hide Bio
Job Titles:
- Branch Manager
- BRANCH MANAGER, DIRECTOR - INVESTMENTS
Job Titles:
- BRANCH MANAGER
- MANAGING DIRECTOR
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Job Titles:
- Executive Director
- Executive Director With Professionals Alliance Group
Daniel Mullen is an Executive Director with Professionals Alliance Group, a division of Oppenheimer & Co. Inc. Prior to joining Professionals Alliance Group, Mr. Mullen was a member of Oppenheimer Asset Management Sales & Marketing. Prior to joining Oppenheimer in April 2003, Mr. Mullen held similar positions at CIBC World Markets Corp. since 2001. He has been in the financial services industry since 2001.
Job Titles:
- Branch Manager
- New Manager
Name: Daniel Roseveare Title: Managing Director | K12 and Charter Schools Address 13455 Noel Road Suite 1200 Dallas, TX 75240 Click to open address in a new window on Google Maps Contact (972) 450-3881 daniel.roseveare@opco.com Hide Bio
Job Titles:
- Branch Manager
- BRANCH MANAGER, DIRECTOR - INVESTMENTS
Name: David Moffett Title: Managing Director Address 3438 Peachtree Road NE Suite 950 Atlanta, GA Click to open address in a new window on Google Maps Contact (404) 364-8748 david.moffett@opco.com Hide Bio
Dennis McNamara - Chief Legal Officer, EVP, Secretary
Job Titles:
- Corporate Secretary
- Executive Vice President
- General Counsel
- Member of the Management Committee
Dennis is the Corporate Secretary of Oppenheimer Holdings Inc., the ultimate holding company of Oppenheimer and its affiliates that is traded on the New York Stock Exchange under the symbol OPY. He is also a member of the Board of Directors of Oppenheimer Asset Management, Oppenheimer Europe, Oppenheimer Investments Asia Limited, Oppenheimer Israel Limited, and OppenheimerCooperative U.A. Prior to joining Oppenheimer Dennis was Corporate General Counsel for Josephthal & Co. Inc., a full service broker dealer and investment banking firm. He also served as Executive Vice President and General Counsel of Plaid Holdings Corp., a company engaged in mergers and acquisitions. Prior to that, Dennis was associated with the law firm of Shea & Gould as a member of the Corporate and Securities Department. Dennis is a graduate of Cornell University and the University of Texas at Austin School of Law where he received a BS in 1983 and a JD in 1987, respectively.
Douglas Siegel - CCO, Chief Compliance Officer, Managing Director
Job Titles:
- CCO
- Chief Compliance Officer
- Managing Director
- Member of the Management Committee
As CCO, Doug sets the Compliance strategy and manages the Firm's regulatory and reputational risk. He serves as a member of Oppenheimer's Management, Risk Management, New Product, Surveillance Oversight, and Regulatory Review Committees. Mr. Siegel joined the Firm in February, 2016. Prior to joining Oppenheimer, he spent 17 years at UBS, most recently as Managing Director and Chief Compliance Officer for UBS Wealth Management Americas for six years. Prior to UBS, he spent 13 years at Smith Barney and predecessors in various compliance roles. He is a frequent speaker at SIFMA, FINRA, and SEC events. Doug graduated from Syracuse University with a BS in Finance.
Job Titles:
- Member of the Management Committee
- Executive Vice President of the Private Client Division at Oppenheimer & Co
- Executive Vice President, Private Client Division
Ed Harrington is the Executive Vice President of the Private Client Division at Oppenheimer & Co. Inc. Ed is responsible for the strategic management and growth of the Firm's Financial Advisor and branch network. He brings together resources that enable Financial Advisors to deliver valued investment advice and comprehensive wealth management to a variety of clients, including families and high-net-worth individuals, foundations and endowments, pensions, charities, and corporate executive services for all businesses.
Ed has spent 25 years with Oppenheimer, excelling in product development, sponsor engagement, operations and product marketing. In his most recent role as Managing Director, Head of Sales & Marketing for Oppenheimer Asset Management Inc., he built a sales and marketing team that delivers an end-to-end capability including 12 investment platforms, new product capabilities across all asset classes, sales enablement activities and field support. He led successful investment management distribution efforts across 92 U.S. retail locations and 1,100 advisors and played an important collaborative role in the launch of the Firm's Private Market Opportunity Platform, which delivers private investment vehicles to qualified investors.
Ed received his Bachelor of Science from the University of Scranton and has earned his Certified Investment Management Analyst designation. In his free time, Ed can be found taking on challenging trails on his mountain bike and spending time with his family, including coaching his children's youth sport programs.
Job Titles:
- Managing Member of B Capital Advisors LLC
Mr. Behrens joined the Board in 2016. Mr. Behrens is currently the Managing Member of B Capital Advisors LLC, an investment firm. He also serves as a board member of Sidewinder Drilling LLC, a land based oil rig operator, and SEACOR Marine Holdings Inc., an offshore oil and gas provider, positions he has held since 2017. From 2009 to 2017, Mr. Behrens was a Senior Vice President with SEACOR Holdings Inc., a global provider of equipment and services supporting the offshore oil and gas and marine transportation industries that he initially joined in 2008. From 2012 to 2017, he was Chairman of the Board of Trailer Bridge, Inc., a Jones Act container company. Additionally, he served as a board member of Penford Corporation from 2013 to 2015, a board member of Global Marine Systems from 2014 to 2015, and a board member of Continental Insurance Group, Ltd. from 2016 until 2017. From 2006 to 2007, he was a Portfolio Manager and Partner at Level Global Investors, a New York based hedge fund. Mr. Behrens has a B.A. degree from the University of Chicago. The Company believes that Mr. Behrens' qualifications to serve on the Board include the extensive experience that he has gained through his key roles with several other significant businesses, including his experience as a Board Chairman, as well as his demonstrated management, financial and business development skills and acumen. He is a member of the Audit, Compliance, and Nominating and Corporate Governance Committees.
Name: Frank Sanchez Reed Title: Managing Director Address 901 S MoPac Expy Austin, TX 78746 Click to open address in a new window on Google Maps Contact (512) 314.2618 frank.reed@opco.com Hide Bio
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Job Titles:
- Branch Manager
- BRANCH MANAGER, EXECUTIVE DIRECTOR - INVESTMENTS
Name: James Swan Title: Managing Director | Senior Living, Market Rate and Affordable Housing Address 263 Tressler Blvd. Suite 500 Stamford, CT 06901 Click to open address in a new window on Google Maps Contact (203) 247-1819 james.swan@opco.com Hide Bio
Job Titles:
- Managing Director
- Managing Director of Sales and Marketing With
Jason Betley is a Managing Director of Sales and Marketing with Oppenheimer Asset Management, in which capacity he works with Oppenheimer's Financial Consultants along the West Coast to assist them in developing their Asset Management practices. Mr. Betley has been in the financial services industry since 2007. Mr. Betley consults with Oppenheimer's Financial Advisors and their clients on the design, implementation, and monitoring of investment strategies at the firm.
Prior to joining Oppenheimer Asset Management, Mr. Betley was employed by Morgan Stanley Wealth Management, where he held the positions of GIS Regional Sales Director and Consulting Group Regional Director supporting the Southwest Region. Before joining Morgan Stanley in 2014, Mr. Betley held comparable positions at Causeway Capital Management as well as Natixis Global Asset Management. Mr. Betley earned his Bachelor of Science degree from Northeastern University in Boston, Massachusetts.
Job Titles:
- Chief Marketing Officer
- Member of the Management Committee
- Senior Managing Director
Joan joined Oppenheimer in 2015 bringing deep experience leading and developing marketing teams in the retail, wealth and institutional segments. She previously was CMO for LPL Financial, where she developed the company's marketing and brand strategy. Prior to that, she served as Head of Marketing for Merrill Lynch Wealth Management, where she refined and repositioned the Firm's wealth management business. Her earlier roles include Global Head of Marketing, Wachovia Evergreen Investments and Group Head of Global Marketing at Bank of New York Mellon. She began her professional career managing marketing communications for United Way of Macon, Georgia. Joan earned a BA in Business Administration from Wesleyan College. She is a member of the Women's Forum of New York, which is a network of leaders in the professions, arts, and business.
Job Titles:
- Member of the Management Committee
- Senior Managing Director, Equities
John began his career in 1985, working on the Far East Desk for James Capel & Company, a UK based broker now part of the HSBC franchise. He joined Oppenheimer in 1989, initially as a proprietary trader focused on derivative arbitrage and later was named head of a newly formed International Trading desk, running that business from 1992 to 1997. Following Oppenheimer's acquisition by CIBC in 1997, he transitioned to a role as Business Manager for the combined Firms' U.S. Equity division, helping to coordinate the merger and to develop strategies for growth, eventually being named CAO for Equities in 2002. Following the Fahnstock acquisition of CIBC's retail business and the Oppenheimer brand name in 2003, John joined the new firm as Senior Managing Director and Head of Equities, the position he currently holds. John is a member of the Firm's Management Committee, Co-Chair of International Committee, Co-Chair of New Product Committee, Member of Risk Management Committee. He is a graduate of Hamilton College.
Job Titles:
- Chief Investment Strategist
- Chief Market Strategist
- Managing Director
- Read More Chief Investment Strategist
John Stoltzfus joined Oppenheimer as Managing Director and Chief Market Strategist in April 2012 from Ticonderoga Securities, LLC. A veteran of the financial services industry with over thirty years of experience in the financial markets, his work emphasizes inter-market analysis of multiple asset classes, combined in global market strategies.
John follows cyclical and secular trends, sectors, geopolitics and macroeconomics. He is known for the potential opportunities his analysis provides and his clear, often witty writing and presentations to clients and Financial Professionals alike. He finds question-and-answer periods to be especially helpful and enjoyable, because they enable him to maintain a dialogue that helps develop relationships that benefit Oppenheimer's clients, the firm itself and the Financial Professionals who have arranged a meeting between him and their high-profile institutional and private clients.
Name: Kristin Stephens Title: Managing Director Address 85 Broad Street 23rd Floor New York, NY 10004 Click to open address in a new window on Google Maps Contact (203) 328-1171 kristin.stephens@opco.com Hide Bio
Job Titles:
- Chief Operations Officer
- Executive Vice President
- Member of the Management Committee
Leon began his career in the financial services industry in 1986 and has been with Oppenheimer since 1987. He was appointed Executive Vice President and Chief Operations Officer in April 2020, with overall responsibility for home office Operations. He serves as a member of the Oppenheimer Management Committee, and several others, including: Risk Management, New Products, and Surveillance Oversight.
Leon's hands-on style and experience over three decades with the Firm give him significant insight into multiple technology platforms and the needs of management. He brings maximum operational efficiencies to the functions of the Firm, and understands and adapts to the challenges of an ever changing industry.
Name: Liberty Ziegahn Title: Managing Director Address 500 W Madison Suite 3800 Chicago IL 60661 Click to open address in a new window on Google Maps Contact (312) 360-5625 Liberty.Ziegahn@opco.com Hide Bio
Name: Mark Morehouse Title: Managing Director | P3 Address 500 W. Madison Suite 3800 Chicago, IL 60661 Click to open address in a new window on Google Maps Contact (312) 360-5935 mark.morehouse@opco.com Hide Bio Learn more Mark Morehouse
Job Titles:
- Member of the Management Committee
- Chief Executive and Head of Investment Banking, EMEA
- Chief Executive Officer & Head of Investment Banking, EMEA
Max joined the Firm in 2009 and brings over 20 years of experience in the financial services industry. He utilizes his experience to assist the Management and Global Equity Executive Committees with guiding Oppenheimer's overarching strategies and business priorities. He also oversees the strategic positioning of the Firm's international business as the Chairman of the EMEA Financial Transaction Advisory, European Executive, and International Business Development Committees. Max started his career at Bear Stearns International where he was appointed as a Managing Director Principle. He then joined the equities division of Goldman Sachs International where he ran the U.S. product distribution and was a member of the Equities Management Committee. He later became a partner at MLM Capital, a London based professional services firm that worked in partnership with Oliver Wyman, consulting to retail mid-cap banking groups. Max graduated from the University of Florence with a BA/MA in Economics and a focus on Game Theory applied to Public Finance.
Name: Nicki Tallman Title: Managing Director | General Municipal Address 580 California Street San Francisco, CA 94104 Click to open address in a new window on Google Maps Contact (415) 438-2977 nicki.tallman@opco.com Hide Bio
Mr. Friedman joined the Board in 2015. Mr. Friedman spent 27 years at Bear Stearns & Co. Inc. from 1981 to 2008, most recently holding the position of Chief Operating Officer of the Fixed Income Division. From 2008 to 2009, Mr. Friedman was a Managing Director responsible for business development at Mariner Investment Group, LLC. From 2009 to 2015, Mr. Friedman was Senior Managing Director and Chief Operating Officer of Guggenheim Securities LLC. Mr. Friedman brings an extensive amount of operational and risk management experience to the Company as well as a deep knowledge of the financial services industry. Mr. Friedman is a Certified Public Accountant. He is the Lead Director, Chairman of the Compliance Committee and a member of the Compensation and Nominating and Corporate Governance Committees.
Job Titles:
- Member of the Management Committee
- Senior Managing Director, Global Head of Fixed Income
Peter has expanded the Firm's Taxable Fixed Income franchise to better serve Oppenheimer's institutional clients with expanded fixed income expertise, geographic reach, and intellectual capital. Under Peter's leadership, Oppenheimer continues to focus on delivering customer-driven solutions to a diverse client base who require expertise in all fixed income capabilities, including Global Credit, Rates, and Structured Products. Peter joined Oppenheimer in 2013. Previously, he was responsible for heading the U.S. institutional client relationship management teams for BNP Paribas and Royal Bank of Scotland. Prior to that, he worked at Bear Stearns where he held strategic management roles within fixed income sales and trading. Peter earned his BA from St. John's University.
Job Titles:
- Head of the Sales and Marketing With
Peter Cadaret, Head of the Sales and Marketing with Oppenheimer Asset Management, has worked in the financial services industry since 1996. He consults with individual and institutional clients on the design, implementation, management and monitoring of Investment strategies at the firm. Before he joined Oppenheimer Asset Management, Peter was employed by CIBC World Markets Corp. and its predecessors where he held the position of National Sales Manager for Oppenheimer Investment Advisors. Before joining CIBC World Markets Corp. he held comparable responsibilities at Morgan Stanley and J&W Seligman. Peter earned his Bachelor of Science degree from Canisius College and the Certified Investment Management Analyst (CIMA®) designation from the University of Pennsylvania, The Wharton School of Business.
Job Titles:
- Branch Manager
- BRANCH MANAGER, EXECUTIVE DIRECTOR - INVESTMENTS
Mr. Roth joined the Board in July 2018. Mr. Roth's career has spanned over three decades in which he has been an operator of companies, a dealmaker, a strategic advisor and a successful entrepreneur. Mr. Roth is currently the Managing Partner of RLR. Strategic Partners LLC, a consulting company, a position he has held since October 2016. Prior to that, from 2014 to 2016, Mr. Roth served as Chief Executive Officer of Cetera Financial Group, the nation's second largest network of independent broker-dealers, with over 9,000 financial advisors supporting approximately two million retail clients and over $200 billion in advisory and brokerage assets. Prior to that, from September of 2013 to May of 2014, Mr. Roth was the Chief Executive Officer of Realty Capital Securities, a financial services firm engaged in the independent wealth management business. From January 2006 to September 2013, Mr. Roth was Chief Executive Officer of AIG Advisors Group, one of the largest networks of independent broker-dealers in the country. He started his career as an accountant at Deloitte and Touche where he became a Certified Public Accountant. Mr. Roth has an undergraduate degree from Michigan State University and a J. D. from the University of Detroit School of Law. He is also a graduate of the Owner/President Management Program at Harvard University's Graduate School of Business Administration. He is a member of the Compensation and Nominating and Corporate Governance Committee.
Name: Rick Brandis Title: Managing Director | General Municipal Address 580 California Street San Francisco, CA 94104 Click to open address in a new window on Google Maps Contact (415) 438-2931 rick.brandis@opco.com Hide Bio
Job Titles:
- Chairman of the Management Committee
- President
- President, Oppenheimer Holdings Inc. and Oppenheimer & Co. Inc / Head of U.S. Investment Banking & Chair, Management Committee
Rob is President of Oppenheimer Holdings Inc. as well as the firm's broker-dealer Oppenheimer & Co. Inc. He has been a member of the firm's Board of Directors since May 2013 and provides strategic, financial reporting, enterprise, and operational risk management perspectives given his longstanding experience and direct connection to the businesses. Rob chairs the Executive Management Committee and Co-Chairs the Risk Management Committee, where he drives the firm's agenda for growth, balanced with operational and financial risk. In addition, he serves as Head of Investment Banking, where he leads the division responsible for delivering capital raising and advisory services to privately-held and publicly-traded companies, investment funds, and government entities. Rob joined the firm in 1999, and subsequently became Head of the Taxable Fixed Income business in 2007, and in 2012 assumed responsibility for all Global Fixed Income capabilities, including oversight of the Public Finance and Municipal Sales and Trading departments. Rob received his BSBA from Washington University in St. Louis and his MBA from Columbia Business School.
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Stacy J. Kanter joined the Board in 2023, having previously served as Head of the Global Capital Markets practice at Skadden, Arps, Slate, Meagher & Flom. Under her leadership, the Capital Markets business nearly doubled, solidifying its position as a market and thought leader. Ms. Kanter was responsible for overseeing work performed on behalf of major corporations, private equity firms, and investment banks. In addition to her operating leadership responsibilities at Skadden, Ms. Kanter served on the Policy Committee and Compensation Committee. She also chaired its Global Diversity and Inclusion Committee, playing a key role in shaping hiring and talent development policies and practices. Ms. Kanter is also a member of the Board of Directors, Nominating and Corporate Governance Committee, and Chair of the Audit Committee of Applied Therapeutics, Inc. She is a founding member of Brooklyn Law School's Women's Leadership Circle and is President and a trustee of Congregation Rodeph Sholom. She has served on the board of the New York Law Institute and on the advisory boards of the University at Albany School of Business and the Women in Law Empowerment Forum. Throughout her career, Ms. Kanter has advised on general corporate matters including corporate governance, compliance, and risk management, and is a proven creative problem solver and consensus builder. Her counsel has extended across virtually every industry sector, with clients such as Becton Dickinson, BlackRock, DuPont, Express Scripts, Gilead Sciences, HSBC Securities, Pfizer, Realogy, Revlon, and Rite Aid.
Ms. Spaulding joined the Board in March 2024. She currently serves as Senior Adviser for Homeland Security at the Center for Strategic and International Studies. Throughout her career, she has advised CEOs, boards and government policy makers on how to manage complex security risks across all sectors. She served as Under Secretary for cybersecurity and critical infrastructure protection at the Department of Homeland Security ("DHS") from 2013-2017. At the DHS, she led the development and implementation of national policies to strengthen security and resilience of critical infrastructure against cyber and physical risks. She also initiated the strategic planning and multi-year legislative effort that led to the establishment of the first new operational component since the DHS was created, the Cybersecurity and infrastructure Security Agency. She has collaborated with CEOs of the nation's largest financial services companies to establish the Financial Systemic Analysis and Resilience Center, as well as leading initiatives to strengthen the cyber insurance market, identify and address key cyber vulnerabilities in national aviation systems, and updating the National Infrastructure Protection Plan. She sits on the Board of Directors for American Megatrends Inc. (AMI), Hidden Level, TexasRE, Defending Digital Campaigns, and Girl Security - she also chairs the Cyber Advisory Board for Chubb. She earned her BA and JD from the University of Virginia. Ms. Spaulding brings extensive cybersecurity, governance, risk management and strategic planning experience to the Board.
Job Titles:
- Principal With Financial Risk Group, Inc
Ms. Glasser joined the Board in May 2018. Ms. Glasser, a Principal with Financial Risk Group, Inc. since 2017, has a 30 year track record advising clients in the areas of risk, data and analytics. She joined the Financial Risk Group after consulting independently with Briter Consulting, LLC, a family owned consulting firm, from 2016 through 2017. Prior to this, Ms. Glasser was a Managing Director at JPMorgan Chase from 2013 to 2016, initiating Capital Stress Testing Analytics for the Corporate Office and, as Chief Data Officer for Asset Management, establishing the Chief Data Office. Ms. Glasser served as the first Deputy Director of the Office of Financial Research (US Treasury), delivering data, standards, analytics and technology to support the Financial Stability Oversight Council from 2011 to 2013. As Chief Risk Officer, she established the Chief Risk Office for Bunge Limited from 2007 to 2010. Ms. Glasser led and established teams in risk and analytics at Credit Suisse from 2002 to 2005, and at Merrill Lynch from 1987 through 1998 and 2001. She developed and delivered financial services for IBM, from 2002 to 2005, and KPMG Consulting, from 1999 through 2000. She began her career as an Assistant Professor of Finance at Rutgers University from 1984 to 1986 and Bentley College from 1986 to 1987. She has a PhD and MA in Economics from Fordham University and has a BS in Business Administration from Fairleigh Dickinson University. Ms. Glasser brings extensive experience in risk management to the Board. She is a member of the Audit and Compliance Committees.
Job Titles:
- Chief Information Officer
- Member of the Management Committee
- Senior Managing Director
Thomas is responsible for managing Oppenheimer's Information Technology department, specifically internal application development, infrastructure, cybersecurity, and the evaluation and implementation of new technology products. He also serves as a Member of Oppenheimer's Management Committee, the Risk Management Committee, the Cybersecurity Committee, the New Product Committee, and as the chair of the Firm's Business Continuity Planning Committee. Thomas has extensive experience in the financial services industry, especially in the areas of operations and clearing, capital markets, and information technology. He has served Oppenheimer in both line and technology roles. In 2008, he was named Managing Director and Chief Information Officer, a role he had previously held when he worked at CIBC World Markets.
Mr. Dwyer joined the Board in 2016. He is the founder, former CEO and Chairman of Entitle Direct Group, Inc., a title insurance company. Prior to founding Entitle Direct Group, Inc. in 2006, Mr. Dwyer served as Managing Director at the investment banking firm of Greenhill & Company from 2002 to 2005, specializing in the insurance industry. He previously held a similar position at Donaldson, Lufkin & Jenrette as a Managing Director specializing in the insurance sector from 1993 to 2001. Mr. Dwyer was also a Vice President at Salomon Brothers Inc. from 1987 to 1993, and he was a certified public accountant with Arthur Andersen & Co. in Illinois from 1983 to 1985. He has over 30 years of experience in the financial services industry, and brings significant financial, accounting and insurance knowledge to the Company, as well as demonstrable entrepreneurial, compliance and advisory skills. Mr. Dwyer has an MBA from the University of Chicago and a Bachelor of Science in Accountancy from the University of Illinois. He is Chairman of the Compensation Committee and a member of the Audit, and Compliance Committees.
Job Titles:
- Branch Manager
- BRANCH MANAGER, MANAGING DIRECTOR - INVESTMENTS
Job Titles:
- Branch Manager
- BRANCH MANAGER, EXECUTIVE DIRECTOR - INVESTMENTS
Job Titles:
- Branch Manager
- BRANCH MANAGER, SENIOR DIRECTOR - INVESTMENTS
Name: Tom Woodward Title: Managing Director | Project Finance Address 3438 Peachtree Road NE Suite 950 Atlanta, GA Click to open address in a new window on Google Maps Contact (404) 644-8298 tom.woodward@opco.com Hide Bio
Name: Vin Kurian Title: Managing Director | Utilities Address 85 Broad Street 23rd Floor New York, NY 10004 Click to open address in a new window on Google Maps Contact (212) 667-5870 vin.kurian@opco.com Hide Bio
Mr. Ehrhardt joined the Board in 2008. He is a retired senior audit partner formerly with Deloitte & Touche LLP, New York with over 30 years of professional experience primarily in the banking and securities and insurance industries. While in the practice of public accounting, Mr. Ehrhardt supervised the audits of the firm's largest multinational financial services clients. In addition, Mr. Ehrhardt participated in numerous firm wide initiatives relating to the audit practice and related quality control matters and served as Partner in Charge of the Tri State Financial Services Assurance and Advisory Practice. Mr. Ehrhardt is a Certified Public Accountant and a member of the AICPA. Mr. Ehrhardt brings strong accounting and financial skills and experience to the Company which is important to the oversight of the Company's financial reporting and enterprise and operational risk management. Mr. Ehrhardt is the Chairman of the Audit Committee and a member of the Compensation and Compliance Committees.