董事介绍
注：董事持股数取自最新公司公告
| 姓名 | 性别 | 职位 | 年龄 | 薪酬 | 持股数(万股) | 截止日期 |
|---|---|---|---|---|---|---|
| T. M. Dwyer | 男 | Independent Director | 64 | 28.78万美元 | 2.55 | 2026-05-04 |
| P. M. Friedman | 男 | Independent Director | 70 | 29.98万美元 | 1.55 | 2026-05-04 |
| Stacy J. Kanter | 女 | Independent Director | 67 | 27.38万美元 | 0.26 | 2026-05-04 |
| T. A. Glasser | 女 | Independent Director | 66 | 26.18万美元 | 1.55 | 2026-05-04 |
| R. L. Roth | 男 | Chief Executive Officer and Director | 68 | 27.48万美元 | 1.55 | 2026-05-04 |
| Stacy J. Kanter | 女 | Independent Director | 67 | 未披露 | 未持股 | 2026-05-04 |
| Albert G. Lowenthal | 男 | Director and Executive Chairman | 80 | 未披露 | 348.45 | 2026-05-04 |
| Timothy M. Dwyer | 男 | Independent Director | 64 | 未披露 | 未持股 | 2026-05-04 |
| Suzanne E. Spaulding | 女 | Independent Director | 69 | 11.62万美元 | 0.08 | 2026-05-04 |
| Evan Behrens | 男 | Independent Director | 57 | 未披露 | 未持股 | 2026-05-04 |
| R. S. Lowenthal | 男 | Independent Director | 49 | 954.64万美元 | 13.45 | 2026-05-04 |
高管介绍
注：高管持股数取自最新公司公告
| 姓名 | 性别 | 职位 | 年龄 | 薪酬 | 持股数(万股) | 截止日期 |
|---|---|---|---|---|---|---|
| R. L. Roth | 男 | Chief Executive Officer and Director | 68 | 27.48万美元 | 1.55 | 2026-05-04 |
| Brad M. Watkins | 男 | Executive Vice President and Chief Financial Officer | 44 | 129.13万美元 | 未持股 | 2026-05-04 |
| Albert G. Lowenthal | 男 | Director and Executive Chairman | 80 | 未披露 | 348.45 | 2026-05-04 |
董事简历
中英对照 | 中文 | 英文- T. M. Dwyer
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T. M. Dwyer，2016年5月他被提名加入董事会。他是Entitle Direct Group, Inc.（产权保险公司）的创始人、前首席执行官和主席。2006年创办Entitle Direct Group, Inc.之前从2002年到2005年，他担任投资银行公司Greenhill & Company的董事总经理，从事保险业。他曾在Donaldson, Lufkin & Jenrette担任相似职位。从1993年到2001年，他担任保险部门董事总经理。从1987年到1993年，他担任Salomon Brothers Inc的副总裁。从1983年到1985年，他是伊利诺斯州Arthur Andersen & Co.的注册会计师。
T. M. Dwyer joined the Board in 2016. He is the founder, former CEO and Chairman of Entitle Direct Group, Inc., a title insurance company. Prior to founding Entitle Direct Group, Inc. in 2006 Mr. Dwyer served as Managing Director at the investment banking firm of Greenhill & Company from 2002 to 2005 specializing in the insurance industry. He previously held a similar position at Donaldson, Lufkin & Jenrette as a Managing Director specializing in the insurance sector from 1993 to 2001. Mr. Dwyer was also a Vice President at Salomon Brothers Inc., an investment bank, from 1987 to 1993 and he was a certified public accountant with Arthur Andersen & Co. in Illinois from 1983 to 1985. Mr. Dwyer has an MBA from the University of Chicago and a Bachelor of Science in Accountancy from the University of Illinois. He is the Chairman of the Compensation Committee and a member of the Audit and Compliance Committees. - T. M. Dwyer，2016年5月他被提名加入董事会。他是Entitle Direct Group, Inc.（产权保险公司）的创始人、前首席执行官和主席。2006年创办Entitle Direct Group, Inc.之前从2002年到2005年，他担任投资银行公司Greenhill & Company的董事总经理，从事保险业。他曾在Donaldson, Lufkin & Jenrette担任相似职位。从1993年到2001年，他担任保险部门董事总经理。从1987年到1993年，他担任Salomon Brothers Inc的副总裁。从1983年到1985年，他是伊利诺斯州Arthur Andersen & Co.的注册会计师。
- T. M. Dwyer joined the Board in 2016. He is the founder, former CEO and Chairman of Entitle Direct Group, Inc., a title insurance company. Prior to founding Entitle Direct Group, Inc. in 2006 Mr. Dwyer served as Managing Director at the investment banking firm of Greenhill & Company from 2002 to 2005 specializing in the insurance industry. He previously held a similar position at Donaldson, Lufkin & Jenrette as a Managing Director specializing in the insurance sector from 1993 to 2001. Mr. Dwyer was also a Vice President at Salomon Brothers Inc., an investment bank, from 1987 to 1993 and he was a certified public accountant with Arthur Andersen & Co. in Illinois from 1983 to 1985. Mr. Dwyer has an MBA from the University of Chicago and a Bachelor of Science in Accountancy from the University of Illinois. He is the Chairman of the Compensation Committee and a member of the Audit and Compliance Committees.
- P. M. Friedman
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P. M. Friedman，他于2015年7月加入董事会。他曾任职Bear Stearns & Co. Inc.27年（1981年至2008年），最近担任固定收益部门的首席运营官。从2009年到2015年，他担任Guggenheim Securities LLC的高级董事总经理兼首席运营官。
P. M. Friedman joined the Board in 2015. Mr. Friedman spent 27 years at Bear Stearns & Co. Inc., a financial services firm, from 1981 to 2008 most recently holding the position of Chief Operating Officer of the Fixed Income Division. From 2008 to 2009 Mr. Friedman was a Managing Director responsible for business development at Mariner Investment Group, LLC, an investment advisory firm. From 2009 to 2015 Mr. Friedman was Senior Managing Director and Chief Operating Officer of Guggenheim Securities LLC, a financial services firm. Mr. Friedman is a Certified Public Accountant, and he is the Lead Director, Chairman of our Compliance Committee and a member of the Compensation and Nominating and Corporate Governance Committees. - P. M. Friedman，他于2015年7月加入董事会。他曾任职Bear Stearns & Co. Inc.27年（1981年至2008年），最近担任固定收益部门的首席运营官。从2009年到2015年，他担任Guggenheim Securities LLC的高级董事总经理兼首席运营官。
- P. M. Friedman joined the Board in 2015. Mr. Friedman spent 27 years at Bear Stearns & Co. Inc., a financial services firm, from 1981 to 2008 most recently holding the position of Chief Operating Officer of the Fixed Income Division. From 2008 to 2009 Mr. Friedman was a Managing Director responsible for business development at Mariner Investment Group, LLC, an investment advisory firm. From 2009 to 2015 Mr. Friedman was Senior Managing Director and Chief Operating Officer of Guggenheim Securities LLC, a financial services firm. Mr. Friedman is a Certified Public Accountant, and he is the Lead Director, Chairman of our Compliance Committee and a member of the Compensation and Nominating and Corporate Governance Committees.
- Stacy J. Kanter
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在根据《交易法》将我们的普通股注册为一类证券生效之前，StacyJ.Kanter立即成为我们的董事会成员。Kanter女士在Skadden，Arps，Slate，Meagher&Flom LLP从事法律执业超过30年，她于1993年至2018年12月担任合伙人，并于2009年至2018年12月担任全球资本市场业务主管，自2019年1月起担任法律顾问。Kanter女士还担任Skadden全球多样性和包容性委员会主席。1984年至1986年和1988年至1993年，Kanter女士是Skadden的合伙人。Kanter女士从1986年到1987年担任纽约东区美国地方法院法官Raymond J.Dearie阁下的书记官。Kanter女士在奥尔巴尼商学院（University at Albany School of Business）获得工商管理学士学位，并在布鲁克林法学院（Brooklyn Law School）获得法学博士学位。
Stacy J. Kanter,is also currently serving as a member of the board of directors of Oppenheimer Holdings Inc. (NYSE: OPY) since October 2023. Ms. Kanter practiced law for more than 30 years with Skadden, Arps, Slate, Meagher & Flom LLP ("Skadden"), where she was a partner from 1993 until December 2018, Head of the Global Capital Markets practice from 2009 until December 2018 and was Of Counsel from January 2019 until May 2019. Ms. Kanter also chaired Skadden's Global Diversity and Inclusion Committee. Ms. Kanter was an associate at Skadden from 1984 to 1986 and from 1988 to 1993. Ms. Kanter served as a law clerk to the Honorable Raymond J. Dearie, United States District Court Judge for the Eastern District of New York from 1986 to 1987. Ms. Kanter received her B.S. in Business Administration and Management from the University at Albany School of Business and her J.D. from Brooklyn Law School. - 在根据《交易法》将我们的普通股注册为一类证券生效之前，StacyJ.Kanter立即成为我们的董事会成员。Kanter女士在Skadden，Arps，Slate，Meagher&Flom LLP从事法律执业超过30年，她于1993年至2018年12月担任合伙人，并于2009年至2018年12月担任全球资本市场业务主管，自2019年1月起担任法律顾问。Kanter女士还担任Skadden全球多样性和包容性委员会主席。1984年至1986年和1988年至1993年，Kanter女士是Skadden的合伙人。Kanter女士从1986年到1987年担任纽约东区美国地方法院法官Raymond J.Dearie阁下的书记官。Kanter女士在奥尔巴尼商学院（University at Albany School of Business）获得工商管理学士学位，并在布鲁克林法学院（Brooklyn Law School）获得法学博士学位。
- Stacy J. Kanter,is also currently serving as a member of the board of directors of Oppenheimer Holdings Inc. (NYSE: OPY) since October 2023. Ms. Kanter practiced law for more than 30 years with Skadden, Arps, Slate, Meagher & Flom LLP ("Skadden"), where she was a partner from 1993 until December 2018, Head of the Global Capital Markets practice from 2009 until December 2018 and was Of Counsel from January 2019 until May 2019. Ms. Kanter also chaired Skadden's Global Diversity and Inclusion Committee. Ms. Kanter was an associate at Skadden from 1984 to 1986 and from 1988 to 1993. Ms. Kanter served as a law clerk to the Honorable Raymond J. Dearie, United States District Court Judge for the Eastern District of New York from 1986 to 1987. Ms. Kanter received her B.S. in Business Administration and Management from the University at Albany School of Business and her J.D. from Brooklyn Law School.
- T. A. Glasser
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T.A.Glasser于2018年5月加入董事会。她是FRG（咨询公司，专门从事风险、数据和分析）的负责人。她曾于2016年至2017年担任独立顾问。Glasser女士于2013年至2016年担任摩根大通（JPMorgan Chase）的董事总经理，为公司办公室启动资本压力测试分析，并作为首席数据官建立了资产管理首席数据办公室。她曾担任the Office of Financial Research US Treasury的副董事，从2011年到2013年支持金融稳定监督委员会（the Financial Stability Oversight Council）的系统风险分析。她成立了农产企业和食品生产公司Bunge Ltd.的首席风险办公室，从2007年到2010年担任首席风险官。Glasser从2002年到2005年管理Credit Suisse First Boston Inc.风险和分析团队，从1987年到1998年和2001年管理Merrill Lynch Pierce Fenner&Smith Inc.（两家金融服务公司）风险和分析团队。她曾领导IBM Corp.（从2002年到2005年）、KPMG LLP（从1999年到2000年）的金融服务团队。Glasser从1984年到1986年担任Rutgers University金融学助理教授，从1986年到1987年担任Bentley College金融学助理教授。她获有Fordham University经济学博士学位和硕士学位，以及Fairleigh Dickinson University理学学士学位。
T. A. Glasser joined the Board in May 2018. She is a Principal with FRG, a consulting firm specializing in risk, data and analytics. She was an independent consultant from 2016 to 2017. Ms. Glasser was a Managing Director at JPMorgan Chase from 2013 to 2016 initiating Capital Stress Testing Analytics for the Corporate Office and, as Chief Data Officer, established the Chief Data Office for Asset Management. She served as Deputy Director of the Office of Financial Research US Treasury, from 2011 to 2013 supporting systemic risk analysis for the Financial Stability Oversight Council. She established the Chief Risk Office for Bunge Ltd., an agribusiness and food production company, serving as the Chief Risk Officer from 2007 to 2010. Ms. Glasser managed teams in risk and analytics at Credit Suisse First Boston Inc. from 2002 to 2005 and at Merrill Lynch Pierce Fenner & Smith Inc., both financial services firms, from 1987 through 1998 and in 2001. She led financial services teams at IBM Corp., from 2002 to 2005 and KPMG LLP, from 1999 through 2000. Ms. Glasser was Assistant Professor of Finance at Rutgers University from 1984 to 1986 and Bentley College from 1986 to 1987. She has a PhD and MA in Economics from Fordham University and a BS from Fairleigh Dickinson University. - T.A.Glasser于2018年5月加入董事会。她是FRG（咨询公司，专门从事风险、数据和分析）的负责人。她曾于2016年至2017年担任独立顾问。Glasser女士于2013年至2016年担任摩根大通（JPMorgan Chase）的董事总经理，为公司办公室启动资本压力测试分析，并作为首席数据官建立了资产管理首席数据办公室。她曾担任the Office of Financial Research US Treasury的副董事，从2011年到2013年支持金融稳定监督委员会（the Financial Stability Oversight Council）的系统风险分析。她成立了农产企业和食品生产公司Bunge Ltd.的首席风险办公室，从2007年到2010年担任首席风险官。Glasser从2002年到2005年管理Credit Suisse First Boston Inc.风险和分析团队，从1987年到1998年和2001年管理Merrill Lynch Pierce Fenner&Smith Inc.（两家金融服务公司）风险和分析团队。她曾领导IBM Corp.（从2002年到2005年）、KPMG LLP（从1999年到2000年）的金融服务团队。Glasser从1984年到1986年担任Rutgers University金融学助理教授，从1986年到1987年担任Bentley College金融学助理教授。她获有Fordham University经济学博士学位和硕士学位，以及Fairleigh Dickinson University理学学士学位。
- T. A. Glasser joined the Board in May 2018. She is a Principal with FRG, a consulting firm specializing in risk, data and analytics. She was an independent consultant from 2016 to 2017. Ms. Glasser was a Managing Director at JPMorgan Chase from 2013 to 2016 initiating Capital Stress Testing Analytics for the Corporate Office and, as Chief Data Officer, established the Chief Data Office for Asset Management. She served as Deputy Director of the Office of Financial Research US Treasury, from 2011 to 2013 supporting systemic risk analysis for the Financial Stability Oversight Council. She established the Chief Risk Office for Bunge Ltd., an agribusiness and food production company, serving as the Chief Risk Officer from 2007 to 2010. Ms. Glasser managed teams in risk and analytics at Credit Suisse First Boston Inc. from 2002 to 2005 and at Merrill Lynch Pierce Fenner & Smith Inc., both financial services firms, from 1987 through 1998 and in 2001. She led financial services teams at IBM Corp., from 2002 to 2005 and KPMG LLP, from 1999 through 2000. Ms. Glasser was Assistant Professor of Finance at Rutgers University from 1984 to 1986 and Bentley College from 1986 to 1987. She has a PhD and MA in Economics from Fordham University and a BS from Fairleigh Dickinson University.
- R. L. Roth
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R.L.Roth于2018年7月加入董事会。Roth先生的职业生涯跨越了三十多年，在此期间，他一直是公司的运营商，交易商，战略顾问和成功的企业家。Roth先生目前是咨询公司RLR Strategic Partners LLC的管理合伙人，自2016年10月起担任该职位。他于2020年10月成为特殊目的收购公司Kingswood AcquisitionCorp.的首席独立董事。在此之前，从2014年5月到2016年9月，Roth先生担任Cetera Financial Group的首席执行官，该公司是美国第二大独立经纪交易商网络，拥有超过9000名财务顾问，为大约200万零售客户提供支持，并拥有超过2000亿美元的顾问和经纪资产。在此之前，Roth从2013年9月到2014年5月担任Realty Capital Securities（一家金融服务公司，从事独立财富管理业务）首席执行官。Roth从2006年1月到2013年9月担任AIG Advisors Group（全国最大的独立经纪交易商网络之一）首席执行官。他的职业生涯始于担任Deloitte&Touche公司的会计师，在那里他成为注册会计师。Roth先生拥有密歇根州立大学（Michigan State University）的本科学位和底特律大学法学院（University of Detroit School of Law）的法学博士学位。他也是哈佛大学（Harvard University）工商管理研究生院所有者/总裁管理课程的毕业生。他是提名和公司治理、薪酬和合规委员会的成员。
R. L. Roth joined the Board in July 2018. Mr. Roth's career has spanned over three decades in which he has been an operator of companies, a dealmaker, a strategic advisor and a successful entrepreneur. Mr. Roth is currently the Managing Partner of RLR Strategic Partners LLC, a consulting company, a position that he has held since October 2016. He became Lead Independent Director of Kingswood Acquisition Corp., a special purpose acquisition company, in October 2020. Prior to that, from May 2014 to September 2016 Mr. Roth served as Chief Executive Officer of Cetera Financial Group, the nation's second largest network of independent broker-dealers, with over 9000 financial advisors supporting approximately two million retail clients and over $200 billion in advisory and brokerage assets. Prior to that, from September of 2013 to May of 2014 Mr. Roth served as the Chief Executive Officer of Realty Capital Securities, a financial services firm engaged in the independent wealth management business. From January 2006 to September 2013 Mr. Roth was Chief Executive Officer of AIG Advisors Group, one of the largest networks of independent broker-dealers in the country. He started his career as an accountant at Deloitte & Touche, where he become a Certified Public Accountant. Mr. Roth has an undergraduate degree from Michigan State University and a J.D. from the University of Detroit School of Law. He is also a graduate of the Owner/President Management Program at Harvard University's Graduate School of Business Administration. He is a member of the Nominating and Corporate Governance, Compensation and Compliance Committees. - R.L.Roth于2018年7月加入董事会。Roth先生的职业生涯跨越了三十多年，在此期间，他一直是公司的运营商，交易商，战略顾问和成功的企业家。Roth先生目前是咨询公司RLR Strategic Partners LLC的管理合伙人，自2016年10月起担任该职位。他于2020年10月成为特殊目的收购公司Kingswood AcquisitionCorp.的首席独立董事。在此之前，从2014年5月到2016年9月，Roth先生担任Cetera Financial Group的首席执行官，该公司是美国第二大独立经纪交易商网络，拥有超过9000名财务顾问，为大约200万零售客户提供支持，并拥有超过2000亿美元的顾问和经纪资产。在此之前，Roth从2013年9月到2014年5月担任Realty Capital Securities（一家金融服务公司，从事独立财富管理业务）首席执行官。Roth从2006年1月到2013年9月担任AIG Advisors Group（全国最大的独立经纪交易商网络之一）首席执行官。他的职业生涯始于担任Deloitte&Touche公司的会计师，在那里他成为注册会计师。Roth先生拥有密歇根州立大学（Michigan State University）的本科学位和底特律大学法学院（University of Detroit School of Law）的法学博士学位。他也是哈佛大学（Harvard University）工商管理研究生院所有者/总裁管理课程的毕业生。他是提名和公司治理、薪酬和合规委员会的成员。
- R. L. Roth joined the Board in July 2018. Mr. Roth's career has spanned over three decades in which he has been an operator of companies, a dealmaker, a strategic advisor and a successful entrepreneur. Mr. Roth is currently the Managing Partner of RLR Strategic Partners LLC, a consulting company, a position that he has held since October 2016. He became Lead Independent Director of Kingswood Acquisition Corp., a special purpose acquisition company, in October 2020. Prior to that, from May 2014 to September 2016 Mr. Roth served as Chief Executive Officer of Cetera Financial Group, the nation's second largest network of independent broker-dealers, with over 9000 financial advisors supporting approximately two million retail clients and over $200 billion in advisory and brokerage assets. Prior to that, from September of 2013 to May of 2014 Mr. Roth served as the Chief Executive Officer of Realty Capital Securities, a financial services firm engaged in the independent wealth management business. From January 2006 to September 2013 Mr. Roth was Chief Executive Officer of AIG Advisors Group, one of the largest networks of independent broker-dealers in the country. He started his career as an accountant at Deloitte & Touche, where he become a Certified Public Accountant. Mr. Roth has an undergraduate degree from Michigan State University and a J.D. from the University of Detroit School of Law. He is also a graduate of the Owner/President Management Program at Harvard University's Graduate School of Business Administration. He is a member of the Nominating and Corporate Governance, Compensation and Compliance Committees.
- Stacy J. Kanter
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Stacy J. Kanter于2023年10月加入董事会。从2019年到2026年被Cycle Pharmaceuticals收购，她是生物制药公司Applied Therapeutics, Inc.的独立董事会成员和审计委员会主席，她是Skadden，Arps，Slate，Meagher & Flom LLP（“Skadden Arps”）律师事务所前全球资本市场业务主管，并在2019年之前担任合伙人。在Skadden Arps，她领导了全球资本市场业务在亚洲、欧洲和拉丁美洲的战略和运营，并负责biness发展、客户关系管理、风险评估和人才发展。此外，她还就融资和负债管理交易、企业重组和并购为企业和私募股权客户提供咨询。她还曾在包括纽约法律学院在内的多家非营利组织的董事会任职。她在证券发行、杠杆交易和其他复杂的资本结构方面拥有丰富的经验。她曾于1986年至1987年担任纽约东区美国地区CT尊敬的Raymond J. Dearie的法律助理。坎特女士为董事会带来了在资本市场、公司治理和风险管理方面的重要法律知识和经验。她在布鲁克林法学院获得法学博士学位，并在奥尔巴尼马斯里大学Biness学院获得学士学位。坎特女士是提名和公司治理委员会的主席，也是薪酬和合规委员会的成员。
Stacy J. Kanter joined the Board in October 2023. She was an independent board member and Chair of the Audit Committee of Applied Therapeutics, Inc., a biopharmaceutical company, from 2019 until its acquisition by Cycle Pharmaceuticals in 2026, and she is the former Head of the Global Capital Markets practice at the law firm of Skadden, Arps, Slate, Meagher & Flom LLP ("Skadden Arps"), where she was a partner until 2019. At Skadden Arps, she led the strategy and operations of the Global Capital Markets practice across the , Asia, Europe and Latin America and was responsible for biness development, client relationship management, risk assessment and talent development. Additionally, she advised corporate and private equity clients on financing and liability management transactions, corporate restructurings and mergers and acquisitions. She has also served on the board of directors of a number of non profit organizations, including the New York Law Institute. She has extensive experience with securities offerings, leveraged transactions and other complex capital structures. She was a law clerk for Honorable Raymond J. Dearie of the United States District Ct, Eastern District of New York, from 1986 to 1987. Ms. Kanter brings significant legal knowledge and experience in capital markets, corporate governance, and risk management to the Board. She earned her J.D. from Brooklyn Law School and her B.S. from the University at Albany Massry School of Biness. Ms. Kanter is the Chair of the Nominating and Corporate Governance Committee, and a member of the Compensation and Compliance Committees. - Stacy J. Kanter于2023年10月加入董事会。从2019年到2026年被Cycle Pharmaceuticals收购，她是生物制药公司Applied Therapeutics, Inc.的独立董事会成员和审计委员会主席，她是Skadden，Arps，Slate，Meagher & Flom LLP（“Skadden Arps”）律师事务所前全球资本市场业务主管，并在2019年之前担任合伙人。在Skadden Arps，她领导了全球资本市场业务在亚洲、欧洲和拉丁美洲的战略和运营，并负责biness发展、客户关系管理、风险评估和人才发展。此外，她还就融资和负债管理交易、企业重组和并购为企业和私募股权客户提供咨询。她还曾在包括纽约法律学院在内的多家非营利组织的董事会任职。她在证券发行、杠杆交易和其他复杂的资本结构方面拥有丰富的经验。她曾于1986年至1987年担任纽约东区美国地区CT尊敬的Raymond J. Dearie的法律助理。坎特女士为董事会带来了在资本市场、公司治理和风险管理方面的重要法律知识和经验。她在布鲁克林法学院获得法学博士学位，并在奥尔巴尼马斯里大学Biness学院获得学士学位。坎特女士是提名和公司治理委员会的主席，也是薪酬和合规委员会的成员。
- Stacy J. Kanter joined the Board in October 2023. She was an independent board member and Chair of the Audit Committee of Applied Therapeutics, Inc., a biopharmaceutical company, from 2019 until its acquisition by Cycle Pharmaceuticals in 2026, and she is the former Head of the Global Capital Markets practice at the law firm of Skadden, Arps, Slate, Meagher & Flom LLP ("Skadden Arps"), where she was a partner until 2019. At Skadden Arps, she led the strategy and operations of the Global Capital Markets practice across the , Asia, Europe and Latin America and was responsible for biness development, client relationship management, risk assessment and talent development. Additionally, she advised corporate and private equity clients on financing and liability management transactions, corporate restructurings and mergers and acquisitions. She has also served on the board of directors of a number of non profit organizations, including the New York Law Institute. She has extensive experience with securities offerings, leveraged transactions and other complex capital structures. She was a law clerk for Honorable Raymond J. Dearie of the United States District Ct, Eastern District of New York, from 1986 to 1987. Ms. Kanter brings significant legal knowledge and experience in capital markets, corporate governance, and risk management to the Board. She earned her J.D. from Brooklyn Law School and her B.S. from the University at Albany Massry School of Biness. Ms. Kanter is the Chair of the Nominating and Corporate Governance Committee, and a member of the Compensation and Compliance Committees.
- Albert G. Lowenthal
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Albert G. Lonthal于1985年加入董事会。Lonthal先生是董事会主席，自1985年以来一直担任该职位，也是Oppenheimer & Co. Inc.的执行主席，他于2025年被任命担任该职位。他于1985年至2025年4月期间担任公司首席执行官。伦塔尔先生自1967年以来一直在证券行业工作。Lonthal先生在证券行业的丰富经验以及长期担任公司首席执行官使他对公司的挑战、机遇和运营有独到的见解。自进入公司以来，Lonthal先生通过收购和有机增长建立了公司，使股东权益从500万美元增加到2025年12月31日的9.84亿美元。Lonthal先生是R.S. Lonthal的父亲。
Albert G. Lowenthal joined the Board in 1985. Mr. Lonthal is Chairman of the Board of Directors, a position he has held since 1985, and Executive Chairman of Oppenheimer & Co. Inc., a position to which he was appointed in 2025. He served as Chief Executive Officer of the Company from 1985 through April 2025. Mr. Lonthal has worked in the securities indtry since 1967. Mr. Lonthal's extensive experience in the securities indtry and as long tenured Chief Executive Officer of Company gives him unique insights into the Company's challenges, opportunities and operations. Since his arrival at the Company, Mr. Lonthal has built the Company through acquisition and organic growth taking stockholders' equity from $5 million to $984 million at December 31, 2025. Mr. Lonthal is R.S. Lonthal's father. - Albert G. Lonthal于1985年加入董事会。Lonthal先生是董事会主席，自1985年以来一直担任该职位，也是Oppenheimer & Co. Inc.的执行主席，他于2025年被任命担任该职位。他于1985年至2025年4月期间担任公司首席执行官。伦塔尔先生自1967年以来一直在证券行业工作。Lonthal先生在证券行业的丰富经验以及长期担任公司首席执行官使他对公司的挑战、机遇和运营有独到的见解。自进入公司以来，Lonthal先生通过收购和有机增长建立了公司，使股东权益从500万美元增加到2025年12月31日的9.84亿美元。Lonthal先生是R.S. Lonthal的父亲。
- Albert G. Lowenthal joined the Board in 1985. Mr. Lonthal is Chairman of the Board of Directors, a position he has held since 1985, and Executive Chairman of Oppenheimer & Co. Inc., a position to which he was appointed in 2025. He served as Chief Executive Officer of the Company from 1985 through April 2025. Mr. Lonthal has worked in the securities indtry since 1967. Mr. Lonthal's extensive experience in the securities indtry and as long tenured Chief Executive Officer of Company gives him unique insights into the Company's challenges, opportunities and operations. Since his arrival at the Company, Mr. Lonthal has built the Company through acquisition and organic growth taking stockholders' equity from $5 million to $984 million at December 31, 2025. Mr. Lonthal is R.S. Lonthal's father.
- Timothy M. Dwyer
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Timothy M. Dwyer于2016年加入董事会。他是产权保险公司Entitle Direct Group，Inc.的创始人、前首席执行官和董事长。在2006年创立Entitle Direct Group，Inc.之前，Dwyer先生于2002年至2005年在格林希尔公司的投资银行公司担任董事总经理，专门从事保险行业。He previoly曾于1993年至2001年在Donaldson，Lufkin & Jenrette担任过类似职位，担任专门从事保险领域的董事总经理。德怀尔先生还在1987年至1993年期间担任投资银行所罗门兄弟公司的副总裁，并在1983年至1985年期间担任伊利诺伊州安达信会计师事务所的注册会计师。他在金融服务行业拥有超过40年的经验，为公司带来了重要的金融、会计和保险知识，以及可证明的创业、合规和咨询技能。Dwyer先生拥有芝加哥大学MBA学位和伊利诺伊大学会计学理学学士学位。他是审计委员会主席，也是薪酬和合规委员会的成员。
Timothy M. Dwyer joined the Board in 2016. He is the founder, former CEO and Chairman of Entitle Direct Group, Inc., a title insurance company. Prior to founding Entitle Direct Group, Inc. in 2006, Mr. Dwyer served as Managing Director at the investment banking firm of Greenhill & Company from 2002 to 2005, specializing in the insurance indtry. He previoly held a similar position at Donaldson, Lufkin & Jenrette as a Managing Director specializing in the insurance sector from 1993 to 2001. Mr. Dwyer was also a Vice President at Salomon Brothers Inc., an investment bank, from 1987 to 1993, and he was a certified public accountant with Arthur Andersen & Co. in Illinois from 1983 to 1985. He has over 40 years of experience in the financial services indtry, and brings significant financial, accounting and insurance knowledge to the Company, as ll as demonstrable entrepreneurial, compliance and advisory skills. Mr. Dwyer has an MBA from the University of Chicago and a Bachelor of Science in Accountancy from the University of Illinois. He is the Chair of the Audit Committee, and a member of the Compensation and the Compliance Committees. - Timothy M. Dwyer于2016年加入董事会。他是产权保险公司Entitle Direct Group，Inc.的创始人、前首席执行官和董事长。在2006年创立Entitle Direct Group，Inc.之前，Dwyer先生于2002年至2005年在格林希尔公司的投资银行公司担任董事总经理，专门从事保险行业。He previoly曾于1993年至2001年在Donaldson，Lufkin & Jenrette担任过类似职位，担任专门从事保险领域的董事总经理。德怀尔先生还在1987年至1993年期间担任投资银行所罗门兄弟公司的副总裁，并在1983年至1985年期间担任伊利诺伊州安达信会计师事务所的注册会计师。他在金融服务行业拥有超过40年的经验，为公司带来了重要的金融、会计和保险知识，以及可证明的创业、合规和咨询技能。Dwyer先生拥有芝加哥大学MBA学位和伊利诺伊大学会计学理学学士学位。他是审计委员会主席，也是薪酬和合规委员会的成员。
- Timothy M. Dwyer joined the Board in 2016. He is the founder, former CEO and Chairman of Entitle Direct Group, Inc., a title insurance company. Prior to founding Entitle Direct Group, Inc. in 2006, Mr. Dwyer served as Managing Director at the investment banking firm of Greenhill & Company from 2002 to 2005, specializing in the insurance indtry. He previoly held a similar position at Donaldson, Lufkin & Jenrette as a Managing Director specializing in the insurance sector from 1993 to 2001. Mr. Dwyer was also a Vice President at Salomon Brothers Inc., an investment bank, from 1987 to 1993, and he was a certified public accountant with Arthur Andersen & Co. in Illinois from 1983 to 1985. He has over 40 years of experience in the financial services indtry, and brings significant financial, accounting and insurance knowledge to the Company, as ll as demonstrable entrepreneurial, compliance and advisory skills. Mr. Dwyer has an MBA from the University of Chicago and a Bachelor of Science in Accountancy from the University of Illinois. He is the Chair of the Audit Committee, and a member of the Compensation and the Compliance Committees.
- Suzanne E. Spaulding
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Suzanne E. Spaulding于2024年3月加入董事会。截至2018年，她目前担任战略与国际研究中心高级顾问。在她的整个职业生涯中，她曾就如何管理所有工业部门的复杂安全风险向首席执行官、董事会和政府政策制定者提供建议。2013年至2017年，她担任美国国土安全部（“DHS”）负责网络安全和关键基础设施保护的副部长。在2011年至2017年的DHS上，她领导制定和实施了国家政策，以加强关键基础设施的安全性和抵御网络和物理风险的弹性，包括首席执行官级别的协调委员会。她还发起了战略规划和多年的立法努力，从而促成了自DHS创建以来第一个新的业务组成部分的成立，即网络安全和基础设施安全局。此外，她还与美国最大的金融服务公司的首席执行官合作，建立了金融系统分析和复原力中心，作为加强网络保险市场、识别和解决国家航空系统关键网络漏洞以及更新国家基础设施保护计划的主要举措。此外，从2005年到2011年，她是Harbor Group的管理合伙人；Bingham Consulting Group的负责人；以及Bingham McCutchen，LP的法律顾问。她还曾担任参议院情报问题特别委员会总法律顾问（1995年至1998年）和众议院常设情报委员会少数族裔办公室主任（2003年至2004年），以及在中央情报局工作了6年（1989年至1995年），包括担任中央情报机构防扩散中心主任的法律顾问。她曾是国会任命的网络空间日光浴室委员会（CSC）成员，目前是CSC 2.0成员。她是Hidden Level，Inc.、Texas Reliability Entity，Inc.（“TexasRE”）和Girl Security的董事会成员。她是安达保险网络顾问委员会的主席，也是美国大学技术、法律和安全项目以及捍卫民主国家基金会网络和技术创新中心的顾问。她还是美国国家公司董事协会（NACD）蓝丝带委员会适应性治理：董事会监督破坏性风险的成员。她在弗吉尼亚大学获得了学士学位和京东学位。Spaulding女士为董事会带来了广泛的网络安全、治理、风险管理和战略规划经验。她是审计、合规和提名委员会以及公司治理委员会的成员。
Suzanne E. Spaulding joined the Board in March 2024. She currently serves as Senior Adviser at the Center for Strategic and International Studies as of 2018. Throughout her career, she has advised CEOs, boards and government policy makers on how to manage complex security risks across all indtry sectors. She served as Under Secretary for cybersecurity and critical infrastructure protection at the Department of Homeland Security (the "DHS") from 2013 2017. At the DHS from 2011 to 2017, she led the development and implementation of national policies to strengthen security and resilience of critical infrastructure against cyber and physical risks, including CEO level coordinating councils. She also initiated the strategic planning and multi year legislative effort that led to the establishment of the first new operational component since the DHS was created, the Cybersecurity and Infrastructure Security Agency. In addition, she collaborated with CEOs of the nation's largest financial services companies to establish the Financial Systemic Analysis and Resilience Center, as ll as leading initiatives to strengthen the cyber insurance market, identify and address key cyber vulnerabilities in national aviation systems, and updating the National Infrastructure Protection Plan. Further, from 2005 to 2011, she was Managing Partner of the Harbor Group; principal in the Bingham Consulting Group; and Of Counsel to Bingham McCutchen, LP. She also served as General Counsel for the Senate Select Committee on Intelligence (1995 1998) and minority staff director for the Hoe of Representatives Permanent Committee on Intelligence (2003 2004), as ll as spending 6 years at the CIA (1989 1995), including as Legal Adviser to the Director of Central Intelligence's Nonproliferation Center. She was a Congressionally appointed member of the Cyberspace Solarium Commission (CSC) and is currently a member of CSC 2.0. She sits on the Board of Directors for Hidden Level, Inc., Texas Reliability Entity, Inc. ("TexasRE"), and Girl Security. She chairs the Cyber Advisory Board for Chubb and is an advisor for American University's Tech, Law and Security Program, and the Center on Cyber and Technology Innovation at the Foundation for Defense of Democracies. She also was a member of the National Association of Corporate Directors (NACD) Blue Ribbon commission on Adaptive Governance: Board Oversight of Disruptive Risk. She earned her BA and JD from the University of Virginia. - Suzanne E. Spaulding于2024年3月加入董事会。截至2018年，她目前担任战略与国际研究中心高级顾问。在她的整个职业生涯中，她曾就如何管理所有工业部门的复杂安全风险向首席执行官、董事会和政府政策制定者提供建议。2013年至2017年，她担任美国国土安全部（“DHS”）负责网络安全和关键基础设施保护的副部长。在2011年至2017年的DHS上，她领导制定和实施了国家政策，以加强关键基础设施的安全性和抵御网络和物理风险的弹性，包括首席执行官级别的协调委员会。她还发起了战略规划和多年的立法努力，从而促成了自DHS创建以来第一个新的业务组成部分的成立，即网络安全和基础设施安全局。此外，她还与美国最大的金融服务公司的首席执行官合作，建立了金融系统分析和复原力中心，作为加强网络保险市场、识别和解决国家航空系统关键网络漏洞以及更新国家基础设施保护计划的主要举措。此外，从2005年到2011年，她是Harbor Group的管理合伙人；Bingham Consulting Group的负责人；以及Bingham McCutchen，LP的法律顾问。她还曾担任参议院情报问题特别委员会总法律顾问（1995年至1998年）和众议院常设情报委员会少数族裔办公室主任（2003年至2004年），以及在中央情报局工作了6年（1989年至1995年），包括担任中央情报机构防扩散中心主任的法律顾问。她曾是国会任命的网络空间日光浴室委员会（CSC）成员，目前是CSC 2.0成员。她是Hidden Level，Inc.、Texas Reliability Entity，Inc.（“TexasRE”）和Girl Security的董事会成员。她是安达保险网络顾问委员会的主席，也是美国大学技术、法律和安全项目以及捍卫民主国家基金会网络和技术创新中心的顾问。她还是美国国家公司董事协会（NACD）蓝丝带委员会适应性治理：董事会监督破坏性风险的成员。她在弗吉尼亚大学获得了学士学位和京东学位。Spaulding女士为董事会带来了广泛的网络安全、治理、风险管理和战略规划经验。她是审计、合规和提名委员会以及公司治理委员会的成员。
- Suzanne E. Spaulding joined the Board in March 2024. She currently serves as Senior Adviser at the Center for Strategic and International Studies as of 2018. Throughout her career, she has advised CEOs, boards and government policy makers on how to manage complex security risks across all indtry sectors. She served as Under Secretary for cybersecurity and critical infrastructure protection at the Department of Homeland Security (the "DHS") from 2013 2017. At the DHS from 2011 to 2017, she led the development and implementation of national policies to strengthen security and resilience of critical infrastructure against cyber and physical risks, including CEO level coordinating councils. She also initiated the strategic planning and multi year legislative effort that led to the establishment of the first new operational component since the DHS was created, the Cybersecurity and Infrastructure Security Agency. In addition, she collaborated with CEOs of the nation's largest financial services companies to establish the Financial Systemic Analysis and Resilience Center, as ll as leading initiatives to strengthen the cyber insurance market, identify and address key cyber vulnerabilities in national aviation systems, and updating the National Infrastructure Protection Plan. Further, from 2005 to 2011, she was Managing Partner of the Harbor Group; principal in the Bingham Consulting Group; and Of Counsel to Bingham McCutchen, LP. She also served as General Counsel for the Senate Select Committee on Intelligence (1995 1998) and minority staff director for the Hoe of Representatives Permanent Committee on Intelligence (2003 2004), as ll as spending 6 years at the CIA (1989 1995), including as Legal Adviser to the Director of Central Intelligence's Nonproliferation Center. She was a Congressionally appointed member of the Cyberspace Solarium Commission (CSC) and is currently a member of CSC 2.0. She sits on the Board of Directors for Hidden Level, Inc., Texas Reliability Entity, Inc. ("TexasRE"), and Girl Security. She chairs the Cyber Advisory Board for Chubb and is an advisor for American University's Tech, Law and Security Program, and the Center on Cyber and Technology Innovation at the Foundation for Defense of Democracies. She also was a member of the National Association of Corporate Directors (NACD) Blue Ribbon commission on Adaptive Governance: Board Oversight of Disruptive Risk. She earned her BA and JD from the University of Virginia.
- Evan Behrens
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Evan Behrens，2013年8月28日当选为公司的董事。自2008以来，Behrens先生一直就职于SEACOR Holdings Inc.（一家全球的为近海石油、天然气、海洋运输业提供设备和服务的供应商），自2009年起，Behrens先生担任该公司业务发展部门的高级副总裁。自2012年4月以来，他一直担任Trailer Bridge Inc.的董事长，这是一家Jones Act的集装箱公司。Behrens先生也是众多SEACOR的官员和董事。从2006年到2007年，他是Level Global Investors（位于纽约的避险基金）的投资组合经理和合伙人。从2004年到2006年，Behrens先生是B Capital Advisors的首席执行官和投资经理。Behrens先生拥有芝加哥大学（University of Chicago）学士学位。
Evan Behrens has served as a director of Harte Hanks since March 2019. Mr. Behrens currently serves as Managing Partner of B Capital Advisors, LLC, an investment firm. Previously, Mr. Behrens served as Senior Vice President of Business Development at SEACOR Holdings from January 2008 to May 2017 where he served as the Chairman of the Board of Trailer Bridge Inc. and was the Managing Member of Illinois Corn Processors Inc. Prior to joining SEACOR Holdings, Mr. Behrens served as a partner at Level Global Investors and, prior to that, founded and managed B Capital Advisors formerly Behrens Rubinoff Capital Partners. Mr. Behrens has previously worked as a Senior Portfolio Manager at SAC Capital managing both equity and credit portfolios and contributed in a research capacity at Odyssey Partners/Ulysses Management. Mr. Behrens currently serves on the boards of directors of Oppenheimer Holdings Inc. Previously, Mr. Behrens served as a board member of Continental Insurance Group, Ltd, Penford Corporation, Global Marine Systems Limited, and Stemline Therapeutics. Mr. Behrens obtained an A.B. degree in Political Science from the University of Chicago. - Evan Behrens，2013年8月28日当选为公司的董事。自2008以来，Behrens先生一直就职于SEACOR Holdings Inc.（一家全球的为近海石油、天然气、海洋运输业提供设备和服务的供应商），自2009年起，Behrens先生担任该公司业务发展部门的高级副总裁。自2012年4月以来，他一直担任Trailer Bridge Inc.的董事长，这是一家Jones Act的集装箱公司。Behrens先生也是众多SEACOR的官员和董事。从2006年到2007年，他是Level Global Investors（位于纽约的避险基金）的投资组合经理和合伙人。从2004年到2006年，Behrens先生是B Capital Advisors的首席执行官和投资经理。Behrens先生拥有芝加哥大学（University of Chicago）学士学位。
- Evan Behrens has served as a director of Harte Hanks since March 2019. Mr. Behrens currently serves as Managing Partner of B Capital Advisors, LLC, an investment firm. Previously, Mr. Behrens served as Senior Vice President of Business Development at SEACOR Holdings from January 2008 to May 2017 where he served as the Chairman of the Board of Trailer Bridge Inc. and was the Managing Member of Illinois Corn Processors Inc. Prior to joining SEACOR Holdings, Mr. Behrens served as a partner at Level Global Investors and, prior to that, founded and managed B Capital Advisors formerly Behrens Rubinoff Capital Partners. Mr. Behrens has previously worked as a Senior Portfolio Manager at SAC Capital managing both equity and credit portfolios and contributed in a research capacity at Odyssey Partners/Ulysses Management. Mr. Behrens currently serves on the boards of directors of Oppenheimer Holdings Inc. Previously, Mr. Behrens served as a board member of Continental Insurance Group, Ltd, Penford Corporation, Global Marine Systems Limited, and Stemline Therapeutics. Mr. Behrens obtained an A.B. degree in Political Science from the University of Chicago.
- R. S. Lowenthal
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R. S. Lowenthal， 于2013年5月加入该董事会。他于1999年加入该公司并担任该公司的信息技术部门主管。2007年中期，他成为该公司的固定收入纳税业务总经理；以及2012年中期，担负监管本公司公共财务和市政商业部门的职责。目前，他是Oppenheimer股份有限公司的高级总经理和固定收入业务部主管。他目前分别是Oppenheimer股份有限公司管理、风险管理、资产管理投资监管以及新产品委员会的一位成员。Lowentha先生拥有St. Louis市Washington大学的学士学位，以及Columbia大学的工商管理硕士学位。
R. S. Lowenthal joined the Board in May 2013. Mr. Lowenthal joined the Company in 1999 became Managing Director of the Company's Taxable Fixed Income business in 2007 and assumed responsibility for oversight of the Company's Public Finance and Municipal Trading departments in 2012. He is currently a Senior Managing Director and Head of Oppenheimer & Co. Inc.'s Investment Banking business. Mr. Lowenthal is Chairman of the Oppenheimer & Co. Inc. Management Committee and Co-Chairman of its Risk Management Committee and is a member of several other internal committees. Mr. Lowenthal has an undergraduate degree from Washington University in St. Louis and an MBA from Columbia University. - R. S. Lowenthal， 于2013年5月加入该董事会。他于1999年加入该公司并担任该公司的信息技术部门主管。2007年中期，他成为该公司的固定收入纳税业务总经理；以及2012年中期，担负监管本公司公共财务和市政商业部门的职责。目前，他是Oppenheimer股份有限公司的高级总经理和固定收入业务部主管。他目前分别是Oppenheimer股份有限公司管理、风险管理、资产管理投资监管以及新产品委员会的一位成员。Lowentha先生拥有St. Louis市Washington大学的学士学位，以及Columbia大学的工商管理硕士学位。
- R. S. Lowenthal joined the Board in May 2013. Mr. Lowenthal joined the Company in 1999 became Managing Director of the Company's Taxable Fixed Income business in 2007 and assumed responsibility for oversight of the Company's Public Finance and Municipal Trading departments in 2012. He is currently a Senior Managing Director and Head of Oppenheimer & Co. Inc.'s Investment Banking business. Mr. Lowenthal is Chairman of the Oppenheimer & Co. Inc. Management Committee and Co-Chairman of its Risk Management Committee and is a member of several other internal committees. Mr. Lowenthal has an undergraduate degree from Washington University in St. Louis and an MBA from Columbia University.
高管简历
中英对照 | 中文 | 英文- R. L. Roth
R.L.Roth于2018年7月加入董事会。Roth先生的职业生涯跨越了三十多年，在此期间，他一直是公司的运营商，交易商，战略顾问和成功的企业家。Roth先生目前是咨询公司RLR Strategic Partners LLC的管理合伙人，自2016年10月起担任该职位。他于2020年10月成为特殊目的收购公司Kingswood AcquisitionCorp.的首席独立董事。在此之前，从2014年5月到2016年9月，Roth先生担任Cetera Financial Group的首席执行官，该公司是美国第二大独立经纪交易商网络，拥有超过9000名财务顾问，为大约200万零售客户提供支持，并拥有超过2000亿美元的顾问和经纪资产。在此之前，Roth从2013年9月到2014年5月担任Realty Capital Securities（一家金融服务公司，从事独立财富管理业务）首席执行官。Roth从2006年1月到2013年9月担任AIG Advisors Group（全国最大的独立经纪交易商网络之一）首席执行官。他的职业生涯始于担任Deloitte&Touche公司的会计师，在那里他成为注册会计师。Roth先生拥有密歇根州立大学（Michigan State University）的本科学位和底特律大学法学院（University of Detroit School of Law）的法学博士学位。他也是哈佛大学（Harvard University）工商管理研究生院所有者/总裁管理课程的毕业生。他是提名和公司治理、薪酬和合规委员会的成员。
R. L. Roth joined the Board in July 2018. Mr. Roth's career has spanned over three decades in which he has been an operator of companies, a dealmaker, a strategic advisor and a successful entrepreneur. Mr. Roth is currently the Managing Partner of RLR Strategic Partners LLC, a consulting company, a position that he has held since October 2016. He became Lead Independent Director of Kingswood Acquisition Corp., a special purpose acquisition company, in October 2020. Prior to that, from May 2014 to September 2016 Mr. Roth served as Chief Executive Officer of Cetera Financial Group, the nation's second largest network of independent broker-dealers, with over 9000 financial advisors supporting approximately two million retail clients and over $200 billion in advisory and brokerage assets. Prior to that, from September of 2013 to May of 2014 Mr. Roth served as the Chief Executive Officer of Realty Capital Securities, a financial services firm engaged in the independent wealth management business. From January 2006 to September 2013 Mr. Roth was Chief Executive Officer of AIG Advisors Group, one of the largest networks of independent broker-dealers in the country. He started his career as an accountant at Deloitte & Touche, where he become a Certified Public Accountant. Mr. Roth has an undergraduate degree from Michigan State University and a J.D. from the University of Detroit School of Law. He is also a graduate of the Owner/President Management Program at Harvard University's Graduate School of Business Administration. He is a member of the Nominating and Corporate Governance, Compensation and Compliance Committees.- R.L.Roth于2018年7月加入董事会。Roth先生的职业生涯跨越了三十多年，在此期间，他一直是公司的运营商，交易商，战略顾问和成功的企业家。Roth先生目前是咨询公司RLR Strategic Partners LLC的管理合伙人，自2016年10月起担任该职位。他于2020年10月成为特殊目的收购公司Kingswood AcquisitionCorp.的首席独立董事。在此之前，从2014年5月到2016年9月，Roth先生担任Cetera Financial Group的首席执行官，该公司是美国第二大独立经纪交易商网络，拥有超过9000名财务顾问，为大约200万零售客户提供支持，并拥有超过2000亿美元的顾问和经纪资产。在此之前，Roth从2013年9月到2014年5月担任Realty Capital Securities（一家金融服务公司，从事独立财富管理业务）首席执行官。Roth从2006年1月到2013年9月担任AIG Advisors Group（全国最大的独立经纪交易商网络之一）首席执行官。他的职业生涯始于担任Deloitte&Touche公司的会计师，在那里他成为注册会计师。Roth先生拥有密歇根州立大学（Michigan State University）的本科学位和底特律大学法学院（University of Detroit School of Law）的法学博士学位。他也是哈佛大学（Harvard University）工商管理研究生院所有者/总裁管理课程的毕业生。他是提名和公司治理、薪酬和合规委员会的成员。
- R. L. Roth joined the Board in July 2018. Mr. Roth's career has spanned over three decades in which he has been an operator of companies, a dealmaker, a strategic advisor and a successful entrepreneur. Mr. Roth is currently the Managing Partner of RLR Strategic Partners LLC, a consulting company, a position that he has held since October 2016. He became Lead Independent Director of Kingswood Acquisition Corp., a special purpose acquisition company, in October 2020. Prior to that, from May 2014 to September 2016 Mr. Roth served as Chief Executive Officer of Cetera Financial Group, the nation's second largest network of independent broker-dealers, with over 9000 financial advisors supporting approximately two million retail clients and over $200 billion in advisory and brokerage assets. Prior to that, from September of 2013 to May of 2014 Mr. Roth served as the Chief Executive Officer of Realty Capital Securities, a financial services firm engaged in the independent wealth management business. From January 2006 to September 2013 Mr. Roth was Chief Executive Officer of AIG Advisors Group, one of the largest networks of independent broker-dealers in the country. He started his career as an accountant at Deloitte & Touche, where he become a Certified Public Accountant. Mr. Roth has an undergraduate degree from Michigan State University and a J.D. from the University of Detroit School of Law. He is also a graduate of the Owner/President Management Program at Harvard University's Graduate School of Business Administration. He is a member of the Nominating and Corporate Governance, Compensation and Compliance Committees.
- Brad M. Watkins
Brad M. Watkins于2022年8月1日加入公司，担任Oppenheimer & Co. Inc.和奥本海默控股公司执行副总裁兼首席财务官。他还在公司的多个委员会任职，包括管理层、风险管理、市场风险、信用风险、流动性风险、产品监督和新产品委员会。在加入公司之前，Watkins先生是毕马威会计师事务所的合伙人，在该公司的金融服务审计业务中工作了大约19年，为众多客户提供服务，包括经纪交易商和其他金融机构。他是一名注册会计师，在美国公认会计原则和国际财务报告准则要求、SEC报告事项和经纪交易商监管合规方面拥有丰富经验。Watkins先生于2003年毕业于纽约大学Stern BYES学院，获得会计学理学学士学位。
Brad M. Watkins joined the Company as Executive Vice President and Chief Financial Officer of Oppenheimer & Co. Inc. and Oppenheimer Holdings Inc. on Augt 1, 2022. He also serves on a number of the Company's committees, including the Management, Risk Management, Market Risk, Credit Risk, Liquidity Risk, Product Oversight and New Product Committees. Prior to joining the Company, Mr. Watkins was a partner at KPMG, where he worked for approximately 19 years in their Financial Services audit practice serving a multitude of clients, including broker dealers and other financial institutions. He is a certified public accountant with extensive experience with U.S. GAAP and IFRS requirements, SEC reporting matters and broker dealer regulatory compliance. Mr. Watkins graduated from New York University's Stern School of Biness with a Bachelor of Science in Accounting in 2003.- Brad M. Watkins于2022年8月1日加入公司，担任Oppenheimer & Co. Inc.和奥本海默控股公司执行副总裁兼首席财务官。他还在公司的多个委员会任职，包括管理层、风险管理、市场风险、信用风险、流动性风险、产品监督和新产品委员会。在加入公司之前，Watkins先生是毕马威会计师事务所的合伙人，在该公司的金融服务审计业务中工作了大约19年，为众多客户提供服务，包括经纪交易商和其他金融机构。他是一名注册会计师，在美国公认会计原则和国际财务报告准则要求、SEC报告事项和经纪交易商监管合规方面拥有丰富经验。Watkins先生于2003年毕业于纽约大学Stern BYES学院，获得会计学理学学士学位。
- Brad M. Watkins joined the Company as Executive Vice President and Chief Financial Officer of Oppenheimer & Co. Inc. and Oppenheimer Holdings Inc. on Augt 1, 2022. He also serves on a number of the Company's committees, including the Management, Risk Management, Market Risk, Credit Risk, Liquidity Risk, Product Oversight and New Product Committees. Prior to joining the Company, Mr. Watkins was a partner at KPMG, where he worked for approximately 19 years in their Financial Services audit practice serving a multitude of clients, including broker dealers and other financial institutions. He is a certified public accountant with extensive experience with U.S. GAAP and IFRS requirements, SEC reporting matters and broker dealer regulatory compliance. Mr. Watkins graduated from New York University's Stern School of Biness with a Bachelor of Science in Accounting in 2003.
- Albert G. Lowenthal
Albert G. Lonthal于1985年加入董事会。Lonthal先生是董事会主席，自1985年以来一直担任该职位，也是Oppenheimer & Co. Inc.的执行主席，他于2025年被任命担任该职位。他于1985年至2025年4月期间担任公司首席执行官。伦塔尔先生自1967年以来一直在证券行业工作。Lonthal先生在证券行业的丰富经验以及长期担任公司首席执行官使他对公司的挑战、机遇和运营有独到的见解。自进入公司以来，Lonthal先生通过收购和有机增长建立了公司，使股东权益从500万美元增加到2025年12月31日的9.84亿美元。Lonthal先生是R.S. Lonthal的父亲。
Albert G. Lowenthal joined the Board in 1985. Mr. Lonthal is Chairman of the Board of Directors, a position he has held since 1985, and Executive Chairman of Oppenheimer & Co. Inc., a position to which he was appointed in 2025. He served as Chief Executive Officer of the Company from 1985 through April 2025. Mr. Lonthal has worked in the securities indtry since 1967. Mr. Lonthal's extensive experience in the securities indtry and as long tenured Chief Executive Officer of Company gives him unique insights into the Company's challenges, opportunities and operations. Since his arrival at the Company, Mr. Lonthal has built the Company through acquisition and organic growth taking stockholders' equity from $5 million to $984 million at December 31, 2025. Mr. Lonthal is R.S. Lonthal's father.- Albert G. Lonthal于1985年加入董事会。Lonthal先生是董事会主席，自1985年以来一直担任该职位，也是Oppenheimer & Co. Inc.的执行主席，他于2025年被任命担任该职位。他于1985年至2025年4月期间担任公司首席执行官。伦塔尔先生自1967年以来一直在证券行业工作。Lonthal先生在证券行业的丰富经验以及长期担任公司首席执行官使他对公司的挑战、机遇和运营有独到的见解。自进入公司以来，Lonthal先生通过收购和有机增长建立了公司，使股东权益从500万美元增加到2025年12月31日的9.84亿美元。Lonthal先生是R.S. Lonthal的父亲。
- Albert G. Lowenthal joined the Board in 1985. Mr. Lonthal is Chairman of the Board of Directors, a position he has held since 1985, and Executive Chairman of Oppenheimer & Co. Inc., a position to which he was appointed in 2025. He served as Chief Executive Officer of the Company from 1985 through April 2025. Mr. Lonthal has worked in the securities indtry since 1967. Mr. Lonthal's extensive experience in the securities indtry and as long tenured Chief Executive Officer of Company gives him unique insights into the Company's challenges, opportunities and operations. Since his arrival at the Company, Mr. Lonthal has built the Company through acquisition and organic growth taking stockholders' equity from $5 million to $984 million at December 31, 2025. Mr. Lonthal is R.S. Lonthal's father.