Arthur F. Schlobohm
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.
Arthur F Schlobohm IV, who also goes by Arthur Francis Schlobohm IV, Arthur Francis Schlobohm, Arthur Schlobohm, Ty Schlobohm, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1997. Arthur had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2016 - October 31, 2025
OXFORD FINANCIAL GROUP, LTD
May 29, 2013 - August 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2013 - August 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2009 - March 7, 2013
G-2 TRADING,LLC
April 27, 2007 - May 12, 2009
CHERRY TREE & ASSOCIATES, LLC
November 11, 2005 - April 17, 2007
US ARMA PARTNERS LP
November 16, 2000 - October 4, 2005
ELECTRONIC TRADING GROUP, LLC
April 23, 1997 - November 16, 2000
FIRST NEW YORK SECURITIES L.L.C.
Primary Firm SEC Registration
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
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: 4/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,467 |
| AUM (Assets Under Management) | $ 19,650,381,670 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/16/2025 | ||
| 03/28/2025 | ||
| 03/15/2024 | ||
| 03/24/2023 |
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.
