Robert J. Ognar
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.
Robert James Ognar, who also goes by Bob Ognar, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 26 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2016 - April 25, 2016
LINCOLN INVESTMENT
March 18, 2016 - April 25, 2016
LINCOLN INVESTMENT
October 26, 2015 - February 10, 2016
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
July 8, 2014 - October 1, 2015
VOYA FINANCIAL ADVISORS, INC.
April 21, 2014 - October 1, 2015
VOYA FINANCIAL ADVISORS, INC.
April 19, 2012 - April 17, 2014
ALLSTATE FINANCIAL SERVICES, LLC
April 8, 2011 - April 3, 2012
SIGNATOR INVESTORS, INC.
March 30, 2011 - April 3, 2012
SIGNATOR INVESTORS, INC.
March 14, 2011 - March 23, 2011
NEW ENGLAND SECURITIES
November 23, 2010 - March 23, 2011
NEW ENGLAND SECURITIES
June 12, 2009 - November 19, 2009
COUNTRY CAPITAL MANAGEMENT COMPANY
September 14, 2007 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
September 14, 2007 - June 1, 2009
CHASE INVESTMENT SERVICES CORP.
March 6, 2007 - April 17, 2007
EDWARD JONES
February 2, 2007 - April 17, 2007
EDWARD JONES
December 2, 2002 - May 17, 2006
BARRINGTON RESEARCH ASSOCIATES, INC.
March 1, 2002 - April 22, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
December 11, 2000 - April 30, 2001
ABN AMRO INCORPORATED
November 30, 1998 - November 2, 2000
BARRINGTON RESEARCH ASSOCIATES, INC.
March 16, 1998 - November 9, 1998
NATIONS FINANCIAL GROUP, INC.
December 10, 1997 - March 16, 1998
AEGON USA SECURITIES INC.
November 14, 1996 - September 11, 1997
MESIROW FINANCIAL, INC.
March 11, 1993 - February 22, 1995
HOWE BARNES HOEFER & ARNETT, INC.
May 1, 1992 - November 10, 1992
CETERA INVESTMENT SERVICES LLC
January 6, 1992 - March 27, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 1988 - May 1, 1991
LASALLE FINANCIAL SERVICES, INC.
November 19, 1987 - December 9, 1987
R.W. SMITH & ASSOCIATES, LLC
May 12, 1987 - July 30, 1987
MOSELEY SECURITIES CORPORATION
March 1, 1985 - July 22, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
September 1, 1983 - January 28, 1985
KIDDER, PEABODY & CO. INCORPORATED
January 3, 1978 - February 10, 1984
E. F. HUTTON & COMPANY INC
December 12, 1975 - April 29, 1979
RICHARDSON GREENSHIELDS SECURITIES INC.
September 6, 1973 - August 2, 1975
WILSON WHITE BELE LAKE ROCHLIN & CO INC
Primary Firm SEC Registration
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
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: 8/31/1973
Registered Representative ExaminationCurrent Firm
LINCOLN INVESTMENT
CRD#: 519 / SEC#: 801-14059, 8-14354
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
