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MF

Mark A. Fichtenbaum

OBEX SECURITIES LLC
New Rochelle, NY 10804
Some features on this profile are disabled
CRD#: 2169867
MF

Professional summary

Mark Alan Fichtenbaum is a registered financial professional currently at OBEX SECURITIES LLC located in New Rochelle, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Alan Fichtenbaum's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 4, 2020 - Present

OBEX SECURITIES LLC

Office #1: 290 Overlook Road, New Rochelle, NY 10804
BD
CRD#: 120002
New Rochelle, NY
Past

July 30, 2010 - November 26, 2019

TWENTY-FIRST SECURITIES CORPORATION

BD
CRD#: 14461
NEW YORK, NY
Past

October 16, 1991 - September 6, 2005

TWENTY-FIRST SECURITIES CORPORATION

BD
CRD#: 14461
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(10/14/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/12/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/8/2001
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OBEX SECURITIES LLC
OBEX SECURITIES LLC

CRD#: 120002 / SEC#: , 8-65242

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
290 Overlook Road, New Rochelle, NY 10804
Mailing Address
290 Overlook Road, New Rochelle, NY 10804
Phone number
(914) 833-1800
Established
Delaware since 08/14/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OBEX GROUP LLCSOLE SHAREHOLDER
KATZENSTEIN, RANDALL JAYPRESIDENT/CEO1209829
ROONEY, ALICE MARGARETCOO/FINOP/CCO/ROSRP1910469

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.

Company Information

OBEX SECURITIES LLC

CRD#: 120002New Rochelle, NY 10804

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