Michael R. Obley
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.
Michael Ralph Obley was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 2 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
January 29, 2016 - January 23, 2018
RCX CAPITAL GROUP, LLC
June 9, 2014 - July 10, 2015
HLH SECURITIES, INC.
December 18, 2012 - March 11, 2014
RCX CAPITAL GROUP, LLC
August 31, 2011 - November 20, 2012
SILBER BENNETT FINANCIAL, INC.
September 24, 2001 - November 5, 2009
PINEBRIDGE SECURITIES LLC
July 24, 2000 - September 12, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
July 24, 2000 - September 12, 2001
VALIC FINANCIAL ADVISORS, 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 2
Date: 7/6/1988
Non-Member General Securities ExaminationCurrent Firm
RCX CAPITAL GROUP, LLC
CRD#: 114290 / SEC#: , 8-53416
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
