Applicant Privacy Disclosure

In connection with evaluating your application for employment, and in the event that you are offered employment at Oppenheimer & Co. Inc., (“Oppenheimer”, “we”, “us”, or “our”), Oppenheimer will collect certain nonpublic personal information from you. When you apply for employment, this information will include, without limitation, your name, postal address, phone number, education, military service status, previous employment, references, salary expectation, disciplinary history, criminal history and regulatory history. If you are offered employment, we will also collect certain personal information such as your fingerprints, credit history, birthdate, social security number, political activity and medical and health insurance related information.

This information is collected in order to verify your identity, character, experience, and fitness for employment at Oppenheimer. To the extent applicable, we will perform a CRD review on the Financial Regulatory Authority’s Central Registration Depository to review your registration records and regulatory disciplinary history. We will check your references to verify your character, experience and past employment history. Once hired, we perform a criminal conviction background investigation and use your fingerprints to perform an FBI background check to ascertain your criminal history. We will check your credit history to determine your creditworthiness and credit history, and we will identify any bankruptcies, liens and judgments. We check your political contribution and activity in order comply with federal, state and municipal regulations regarding payments to officials and government entities. We will collect your personal information for tax purposes. Lastly, we will collect your personal information to apply for medical coverage for you and your dependents, to the extent applicable. We require this information both to evaluate your candidacy and to comply with federal, state and regulatory laws, rules and regulations.

Oppenheimer is subject to various laws, rules and regulations that require Oppenheimer to maintain the confidentiality of such information. Oppenheimer understands the importance of maintaining the privacy of your personal information, and accordingly, we have procedural, physical and technological safeguards designed to ensure the confidentiality of such information.

For further details on Oppenheimer’s privacy practices, the categories of personal information collected from applicants and/or employees, and your rights regarding your personal information, please visit our privacy policy at www.oppenheimer.com.