Arthur Obermeier
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 Obermeier, who also goes by Art Obermeier, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1974. Arthur had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 000, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2002 - May 23, 2019
LPL FINANCIAL LLC
June 3, 2002 - May 23, 2019
LPL FINANCIAL LLC
March 4, 1999 - June 10, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 2, 1997 - June 10, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1992 - April 22, 1997
JOHN G. KINNARD AND COMPANY, INCORPORATED
August 8, 1991 - December 17, 1991
DICKINSON & CO.
February 23, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
August 22, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
March 11, 1986 - October 18, 1988
HANIFEN, IMHOFF INC.
May 7, 1974 - March 6, 1986
MORGAN STANLEY DW INC.
April 4, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 5
Date: 12/11/1982
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 000
Date: 5/7/1974
General Securities Principal ExaminationSeries 1
Date: 3/29/1974
Registered Representative ExaminationSeries 12
Date: 5/22/1979
NYSE Branch Manager ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
