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Larissa Poindexter Permitted to Resign from Oppenheimer & Company

Larissa Poindexter (CRD #: 1298572), a broker registered with USCA Securities, resigned from her previous firm, according to her BrokerCheck record, accessed on April 30, 2025. Investors may have also worked with her through U.S. Capital Wealth Advisors. If you have questions about her alleged conduct as a broker, read on.

Resignation from Oppenheimer & Company

On March 21, 2025, Larissa Poindexter was permitted to resign from Oppenheimer & Company while allegedly under investigation for accessing her business partner’s emails.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Larissa Poindexter has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Direct Participation Programs Representative Examination – Series 22
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

Larissa Poindexter is a registered broker in 17 states and a registered investment adviser in Texas.

She has also worked for the following firms:

  • Oppenheimer & Company (CRD#:249)
  • LPL Financial (CRD#:6413)
  • Raymond James & Associates (CRD#:705)
  • UBS Financial Services (CRD#:8174)
  • Salomon Smith Barney (CRD#:7059)
  • Rauscher Pierce Refsnes (CRD#:6663)
  • First City Brokerage Company (CRD#:17124)
  • First Amerigroup Securities (CRD#:14062)
  • Shearson Lehman Brothers (CRD#:7506)
  • Synchronicity Investments (CRD#:15224)

Kurta Law Can Help

If you worked with Larissa Poindexter and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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