Wayne B. Ohl
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.
Wayne Brent Ohl was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1974. Wayne had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2009 - March 30, 2012
KESTRA INVESTMENT SERVICES, LLC
February 23, 1999 - November 23, 2004
APB FINANCIAL GROUP LTD
June 3, 1998 - March 30, 2012
KESTRA INVESTMENT SERVICES, LLC
October 10, 1985 - June 3, 1998
VSR FINANCIAL SERVICES, INC.
October 8, 1985 - October 21, 1985
O. R. SECURITIES, INC.
May 31, 1984 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
January 31, 1982 - June 15, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
May 22, 1978 - February 11, 1982
ILG SECURITIES CORPORATION
January 1, 1974 - November 29, 1976
METROPOLITAN LIFE INSURANCE COMPANY
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: 12/20/1973
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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