Oma P. Despain Goodwin
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.
Oma Phelps Despain Goodwin, who also goes by Oma Phelps Despain, Oma Phelps Johnson, was a registered financial professional .
Oma is a previously registered financial professional and started their career in finance in 1986. Oma had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2012 - December 20, 2012
AMERICAN EQUITY INVESTMENT CORPORATION
April 20, 2000 - December 21, 2010
SILVER OAK SECURITIES, INCORPORATED
April 14, 1999 - April 19, 2000
SICOR SECURITIES INC
June 6, 1994 - April 21, 1999
WMA SECURITIES, INC.
February 23, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 5, 1993 - February 18, 1994
WALNUT STREET SECURITIES, INC.
September 29, 1992 - May 7, 1993
NORTH AMERICAN MANAGEMENT, INC.
December 2, 1986 - April 1, 1992
PFS INVESTMENTS 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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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