MO
Martin E. Oberman
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CRD#: 2788211
MO
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.
Martin E Oberman, who also goes by Martin Erwin Oberman, Marty Oberman, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1996. Martin had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Martin Erwin Oberman | Marty Oberman
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.
(1)Name of Business: Cancer Support Community of Greater St. Louis Address: 11775 Borman Drive, St. Louis, MO, 63146, United States Activity Type: Non profit Position/Title: Board Member, Director, Committee Member Investment Related: Yes Start Date: 12/04/1995 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board of Directors, committee member and responsible for input in order to further our mission of helping people and their families dealing with cancer with psycho-social services. (2)Name of Business: St. Louis Jewish Community Center Address: 2 Millstone Campus Dr., St. Louis, MO, 63146, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member, Director, Executive Member, Committee Member Investment Related: Yes Start Date: 05/18/1983 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member/Board of Directors
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 31, 2018 - October 1, 2025
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ST LOUIS, MO
Past
August 31, 2018 - October 1, 2025
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST LOUIS, MO
Past
January 16, 2009 - September 11, 2018
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ST. LOUIS, MO
Past
January 16, 2009 - September 11, 2018
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ST. LOUIS, MO
Past
February 7, 2000 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLAYTON, MO
Past
October 9, 1996 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLAYTON, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
