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OM

Obie L. Mckenzie

NORTH CAPITAL PRIVATE SECURITIES
Salt Lake City, UT 84047
Some features on this profile are disabled
CRD#: 1343154
OM

Professional summary

Obie Lee Mckenzie is a registered financial professional currently at NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.

Obie is registered as a RR (Registered Representative) and started their career in finance in 1985. Obie has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Obie Lee Mckenzie'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

March 10, 2026 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
BD
CRD#: 154559
Salt Lake City, UT
Past

January 4, 2021 - December 31, 2023

STERN BROTHERS & CO.

BD
CRD#: 16325
New York, NY
Past

August 26, 2020 - November 22, 2020

QUOIN CAPITAL LLC

BD
CRD#: 136160
PHILADELPHIA, PA
Past

September 29, 2006 - January 8, 2019

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
PLAINSBORO, NJ
Past

September 29, 2006 - January 8, 2019

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

August 11, 2005 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

July 19, 2005 - September 29, 2006

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

February 12, 1990 - January 17, 1996

BUTTONWOOD SECURITIES, INC.

BD
CRD#: 18420
NEW YORK, NY
Past

April 13, 1987 - September 13, 1989

MCKENZIE & COMPANY

BD
CRD#: 18619
Past

May 8, 1985 - September 10, 1985

CARTWRIGHT SECURITIES, INC.

BD
CRD#: 10816

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(3/11/2026)
RR
Utah
(3/10/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/4/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/25/1985
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/1985
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/18/1985
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559 / SEC#: , 8-68648

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Mailing Address
623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047
Phone number
(415) 315-9916
Established
Delaware since 05/20/2010
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NORTH CAPITAL INVESTMENT TECHNOLOGY, INC.OWNER
ANDERSON, JOSEPH CARLCHIEF COMPLIANCE OFFICER, CHIEF AML COMPLIANCE OFFICER4644204
BEATON, DANIEL STEWARTFINOP/CFO4240769
DOWD, JAMES PATRICKPRESIDENT, EXECUTIVE REP., H.O. SUPER2109413

Disclosures

Regulatory Event1

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.

Company Information

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559Salt Lake City, UT 84047

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