Virginia Umbreit
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.
Virginia Umbreit, who also goes by Ginny Obrien, VIrginia Ann Obrien, was a registered financial professional .
Virginia is a previously registered financial professional and started their career in finance in 1987. Virginia had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2000 - May 3, 2021
FLI INVESTORS, LLC
June 30, 1989 - March 14, 2000
SCHRODER & CO. INC.
January 21, 1987 - April 21, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
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
FLI INVESTORS, LLC
CRD#: 17128 / SEC#: , 8-39904
Contact information
FINRA licenses (3 States and Territories)
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.
