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Details

CIBC WORLD MARKETS CORP NFA ID: 0000299

Current Status
• ALSO SEE NFA ID 0055877 
 
• INTRODUCING BROKER REGISTERED 
• NFA MEMBER APPROVED 
Firm Activity Status
Firm has on-exchange futures and/or options customer accountsNo
Firm is soliciting customersNo
Firm manages futures or options customer accountsNo
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC0
Exchanges0
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant0
Respondent3
details...
 
CFTC Reparations Cases
Total9
details...
Formerly Known As
• CIBC OPPENHEIMER CORP
• OPPENHEIMER & CO INC
 
Business Address
425 LEXINGTON AVENUE
NEW YORK, NY  10017
UNITED STATES
212-856-4000
Doing Business As
No other names
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
DANIEL BROWNCHIEF FINANCIAL OFFICERNO
CANADIAN IMPERIAL BANK OF COMMERCEYES
CIBC USA HOLDINGS INC YES
CIBC WORLD MARKETS INCYES
ROMAN STEPAN DUBCZAKDIRECTORNO
MICHAEL PATRICK HIGGINSHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JAMES FREDRICK KEMPHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
ACHILLES M PERRYDIRECTORNO
ERIC S PRICEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
JEFFREY DAVID THIBEAULTHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
EDNA JENNIFER WARRENPRESIDENTNO
MICHAEL ZELLERMAYERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTIONNO
History
 Status Effective Date
• ALSO SEE NFA ID 0055877 
 
• INTRODUCING BROKER REGISTERED02/08/2013 
• FUTURES COMMISSION MERCHANT WITHDRAWN02/08/2013 
• INTRODUCING BROKER PENDING01/08/2013 
• INTRODUCING BROKER PENDING STATUS WITHDRAWN06/02/2007 
• INTRODUCING BROKER PENDING10/12/2006 
• NFA MEMBER APPROVED09/26/2006 
• NFA MEMBER PENDING03/23/2006 
• NFA MEMBER WITHDRAWN08/10/2005 
• COMMODITY TRADING ADVISOR WITHDRAWN04/17/1984 
• NFA MEMBER APPROVED07/01/1982 
• COMMODITY TRADING ADVISOR REGISTERED06/30/1982 
• FUTURES COMMISSION MERCHANT REGISTERED01/03/1979 
 
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