Brent D. Obergfell
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.
Brent Daryl Obergfell, who also goes by Brent Dary Obargfell, Brent D Obergfell, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1994. Brent had worked at 3 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2002 - June 25, 2014
LIGHT HORSE SECURITIES, INC
September 16, 1998 - August 5, 2002
TRADESTATION SECURITIES, INC.
January 21, 1994 - August 28, 1998
AMERIPRISE ADVISOR SERVICES, 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 55
Date: 1/10/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 1/24/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LIGHT HORSE SECURITIES, INC
CRD#: 120242 / SEC#: , 8-65270
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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