Catherine Gale Cain
Investment adviser representative at Oppenheimer & Co. Inc.
13 yearsExperience
1 stateRegistered in
$36.7BFirm assets
71 yearsFirm in business
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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
13 years in the industry.
- Oppenheimer & Co., Inc.Jun 2025 to now
- Bank of America, N.A.Jan 2021 to Jun 2025
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2020 to Jun 2025
- Plante MoranJan 2018 to Sep 2020
- CrossmarkMar 2017 to Oct 2017
- Higbie Maxon AgneyApr 2016 to Jan 2017
- Williams-sonoma, IncNov 2015 to Dec 2016
- UnemployedNov 2013 to Jan 2018
Exams passed
- Series 66 · Uniform Combined State Law2021
State registrations
Registered as an investment adviser representative in 1 state (MI).
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
- 4062955
- Firm CRD
- 249