John V. Oberzan
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.
John Vincent Oberzan, who also goes by John V Oberzan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2012 - May 4, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 2, 2012 - May 12, 2015
RADEMACHER FINANCIAL, INC.
February 1, 2012 - May 4, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - February 8, 2012
MORGAN STANLEY
June 1, 2009 - February 8, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
July 21, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
April 22, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
March 23, 2001 - April 29, 2005
ROBERT W. BAIRD & CO. INCORPORATED
December 1, 1994 - March 29, 2001
INVEST FINANCIAL CORPORATION
August 26, 1986 - December 1, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
