James H. Obryan
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.
James Henry Obryan JR, who also goes by James H Obryan Jr, James Henry Obryan, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1994 - October 12, 1998
SUNPOINT SECURITIES, INC.
December 13, 1991 - November 15, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1988 - December 4, 1991
LEHMAN BROTHERS INC.
June 2, 1986 - March 7, 1988
E. F. HUTTON & COMPANY INC
January 29, 1985 - May 28, 1986
UBS FINANCIAL SERVICES INC.
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
Current Firm
SUNPOINT SECURITIES, INC.
CRD#: 25442 / SEC#: , 8-41741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, VAN ROBERSON | CEO/PRESIDENT/FOUNDER | 1562328 |
| CHILDERS, DIANNE BAILEY | VP COMPLIANCE | |
| HAGEN, BRETT WILLIAM | CHIEF OPERATIONS OFFICER | |
| KATZ, DONALD LESTER | FINOP/EXECUTIVE VICE PRESIDENT ACCOUNTING AND COMPLIANCE | |
| SAPAUGH, MARVIN WAYNE | EXECUTIVE V.P. OF INVESTMENT SERVICES |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 1 |
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.
