Blake J. Omlie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Blake J Omlie, who also goes by Blake Johnson Omlie, Blake Omlie, was a registered financial professional .
Blake is a previously registered financial professional and started their career in finance in 1984. Blake had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2022 - July 26, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 24, 2022 - July 26, 2024
FIDELITY BROKERAGE SERVICES LLC
August 24, 2018 - April 27, 2021
PRUCO SECURITIES, LLC.
November 2, 2017 - December 17, 2021
PRUCO SECURITIES, LLC.
February 10, 2017 - October 18, 2017
SCARSDALE EQUITIES LLC
August 20, 2014 - April 6, 2016
NORTHLAND SECURITIES, INC.
May 13, 2013 - August 21, 2014
ARDOUR CAPITAL INVESTMENTS, LLC
August 13, 2008 - July 14, 2011
FM PARTNERS HOLDINGS LLC
November 3, 2006 - November 27, 2007
GLEACHER & COMPANY SECURITIES, INC.
May 6, 2004 - August 1, 2005
PIPER SANDLER & CO.
January 2, 1987 - December 17, 2002
PIPER SANDLER & CO.
March 27, 1984 - January 29, 1987
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/7/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
