Karl T. Oberlin
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.
Karl Thornfield Oberlin was a registered financial advisor .
Karl is a previously registered financial advisor and started their career in finance in 1970. Karl had worked at 14 firms and has passed the Series 63, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1999 - December 31, 2008
OBERLIN, KARL, THORNFIELD
February 21, 1996 - December 23, 1998
A. G. EDWARDS & SONS, INC.
November 28, 1986 - January 29, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1985 - October 21, 1986
WEST CONTINENTAL SECURITIES, INC.
March 1, 1983 - April 1, 1985
J. ALEXANDER SECURITIES, INC.
April 24, 1980 - January 10, 1983
WESTERN PACIFIC SECURITIES, INC.
November 7, 1979 - April 1, 1985
J. ALEXANDER SECURITIES, INC.
May 19, 1977 - November 9, 1979
CAPITOL SECURITIES COMPANY
May 14, 1976 - June 16, 1977
SECURITIES WEST, INC.
November 16, 1973 - November 11, 1974
DOW FINANCIAL
May 23, 1973 - December 23, 1973
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 12, 1973 - July 15, 1973
PIEDMONT CAPITAL CORPORATION
February 7, 1973 - May 23, 1973
EASTLAND SECURITIES CORP.
October 30, 1972 - March 16, 1973
FIRST CALIFORNIA COMPANY, INCORPORATED
December 21, 1970 - October 22, 1972
GREAT PACIFIC SECURITIES CORPORATION
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 1
Date: 12/10/1970
Registered Representative ExaminationSeries 40
Date: 6/20/1977
Registered Principal ExaminationCurrent firm
No current employment
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.
