Obie L. Mckenzie
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.
Obie Lee Mckenzie was a registered financial professional .
Obie is a previously registered financial professional and started their career in finance in 1985. Obie had worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2021 - December 31, 2023
STERN BROTHERS & CO.
August 26, 2020 - November 22, 2020
QUOIN CAPITAL LLC
September 29, 2006 - January 8, 2019
BLACKROCK INVESTMENT MANAGEMENT, LLC
September 29, 2006 - January 8, 2019
BLACKROCK INVESTMENTS, LLC
August 11, 2005 - September 29, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
July 19, 2005 - September 29, 2006
FAM DISTRIBUTORS, INC.
February 12, 1990 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
April 13, 1987 - September 13, 1989
MCKENZIE & COMPANY
May 8, 1985 - September 10, 1985
CARTWRIGHT SECURITIES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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