Kenneth David Smalley
Investment adviser representative at Oppenheimer & Co. Inc.
12 yearsExperience
1 stateRegistered in
CFADesignation
$36.7BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
12 years in the industry.
- Oppenheimer & Co. Inc.Oct 2025 to now
- Stonex Financial IncJun 2021 to Sep 2025
- Stonex Group IncJun 2021 to Sep 2025
- UnemployedFeb 2021 to May 2021
- Btig LLCMar 2018 to Feb 2021
- Seaport Global Securities LLCSep 2014 to Mar 2018
- Seaport Global Holdings LLCJan 2014 to Mar 2018
Designations
- CFA
Exams passed
- Series 63 · Uniform Securities Agent State Law2007
State registrations
Registered as an investment adviser representative in 1 state (NY).
Oppenheimer & Co. Inc.
$36.7BAssets managed
39,036Clients
1,161Advisers
71 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2002359
- Firm CRD
- 249