John T. Oehl

SOUTHEAST INVESTMENTS, N.C.

Charlotte, NC 28217

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CRD#: 1313682

Professional summary

John Thomas Oehl, who also goes by John Thomas Dehl, is a registered financial professional currently at SOUTHEAST INVESTMENTS, N.C., INC. located in Charlotte, North Carolina.

John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Thomas Dehl

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Thomas Oehl's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 28, 2012 - Present

SOUTHEAST INVESTMENTS, N.C., INC.

Office #1: 820 Tyvola Road, Suite 104, Charlotte, NC 28217

RIA

CRD#: 43035

Charlotte, NC

Past

May 12, 2011 - July 27, 2012

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

BOYNTON BEACH, FL

Past

November 23, 2009 - December 31, 2010

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

BOCA RATON, FL

Past

November 20, 2003 - November 12, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

BOCA RATON, FL

Past

January 25, 2001 - November 5, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 13, 1994 - January 10, 2001

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

May 5, 1993 - July 12, 1994

J. GREGORY & COMPANY, INC.

CRD#: 14892

Past

October 5, 1992 - April 6, 1993

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

February 13, 1992 - September 30, 1992

JW GENESIS CLEARING CORP.

CRD#: 6631

BOCA RATON, FL

Past

March 16, 1989 - December 31, 1991

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

RED BANK, NJ

Past

September 26, 1988 - January 18, 1989

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

February 17, 1987 - July 7, 1988

MORGAN GLADSTONE & CO. INC.

CRD#: 17062

Past

June 20, 1986 - December 22, 1986

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

Past

March 18, 1985 - June 17, 1986

MICHELIN AND COMPANY, INC.

CRD#: 14447

Past

October 26, 1984 - February 22, 1985

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/29/2012)

New Jersey
(2/26/2025)

Exams

State Security Law Exam

Series 63

Date: 1/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/3/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida

Registered Investment Advisory firm - SEC (11/7/2019 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (3/31/2016 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (1/6/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/16/2015 Terminated)

Virginia

Registered Investment Advisory firm - SEC (12/21/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528

Mailing Address

820 Tyvola Road-suite 104, Charlotte, NC 28217

Phone number

(704) 527-7873

Established

North Carolina since 12/06/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BLACK, JONATHAN HARRISON	PRESIDENT/CEO/CCO/FINOP	4975641
PLEXICO, RONALD DAVID JR	PRINCIPAL	2122340

Disclosures

Regulatory Event	3
Arbitration	3

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.

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Firm Stability Insights

John T. Oehl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Thomas Oehl's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERNATIONAL ASSETS ADVISORY, LLC

SYNERGY INVESTMENT GROUP, LLC

GUNNALLEN FINANCIAL, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERICAN INVESTMENT SERVICES, INC.

J. GREGORY & COMPANY, INC.

JOSEPHTHAL & CO., INC.

JW GENESIS CLEARING CORP.

NETWORK 1 FINANCIAL SECURITIES INC.

ALLIED CAPITAL GROUP, INC.

MORGAN GLADSTONE & CO. INC.

F.D. ROBERTS SECURITIES, INC.

MICHELIN AND COMPANY, INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/4/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 24

Date: 6/3/1988

FINRA

Current Firm

SOUTHEAST INVESTMENTS, N.C., INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

TRUST BUT VERIFY

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