WILLIAM ROBERT FRIESE is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 500 W. MADISON, SUITE 4000, CHICAGO, IL, 60661.
WILLIAM ROBERT FRIESE has worked at OPPENHEIMER & CO. INC. since January 03, 2003
Disclosure History
WILLIAM ROBERT FRIESE has 3 Disclosure Event(s).
Date: October 12, 2015 Category: Customer Dispute Allegations: CLIENT'S SON (AUTHORIZED PARTY & TRUSTEE) ALLEGES THAT UNSUITABLE PURCHASES WERE MADE DURING 2013 & 2014.
Date: March 15, 1979 Category: Regulatory Initiated By: MISSOURI Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: APPLICATION FOR REGISTRATION WAS DENIED BY STATE OF MISSOURI, Broker Comment: FRIESE'S APPLICATION FOR REGISTRATION WAS DENIED BY STATE OFMISSOURI, ON 3/15/79 DUE TO HIS FAILURE TO TAKE THE REQUIREDSTATE LAW EXAM. ON MARCH 9, 1979 FRIESE'S APPLICATION FOR REGISTRATION IN THE STATE OF MISSOURI WAS DENIED BECAUSE HE HAD NOT TAKEN THE REQUIRED STATE LAW EXAM. ON JULY 20, 1979, FRIESE TOOK AND PASSED THE UNIFORM SECURITIES AGENT STATE LAW EXAMINATION (SERIES 63). SUBSEQUENTLY FRIESE'S REQUEST FOR REGISTRATION IN THE STATE OF MISSOURI WAS APPROVED.
Date: March 09, 1979 Category: Regulatory Initiated By: OKLAHOMA Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: FRIESE'S LICENSE WAS DENIED BY OKLAHOMA Broker Comment: FRIESE'S LICENSE WAS DENIED BY OKLAHOMA ON 3/9/79 FOR NOT TAKING THE REQUIRED STATE EXAM. ON JULY 20, 1979 FRIESE TOOK AND PASSED THE UNIFORM SECURITIES AGENT STATE LAW EXAMINATION (SERIES 63). SUBSEQUENTLY, HIS REQUEST FOR REGISTRATION IN THE STATE OF OKLAHOMA WAS APPROVED.
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