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(s) 10% or More
Financial Interest
SHAWN LESLIE BEBERDIRECTOR
PRESIDENT
CHIEF EXECUTIVE OFFICER
NO
DANIEL BROWNCHIEF FINANCIAL OFFICER
NO
CIBC INC
YES
ROMAN STEPAN DUBCZAKDIRECTOR
NO
JAMES FREDRICK KEMPHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
ACHILLES M PERRYDIRECTOR
NO
ERIC S PRICEHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
JEFFREY DAVID THIBEAULTHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
EDNA JENNIFER WARRENPRESIDENT
NO
MICHAEL ZELLERMAYERHEAD OF A BUSINESS UNIT, DIVISION OR FUNCTION
NO
 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