Merle D. Ormsbee
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.
Merle Dean Ormsbee was a registered financial professional .
Merle is a previously registered financial professional and started their career in finance in 1968. Merle had worked at 11 firms and has passed the Series 65, Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1990 - January 2, 1991
RICHFIELD SECURITIES, INC.
March 29, 1990 - April 17, 1990
MUTUAL SECURITIES, INC.
July 19, 1988 - January 23, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
February 5, 1988 - July 21, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
December 8, 1987 - February 4, 1988
NORTH AMERICAN INVESTMENT CORP.
December 1, 1983 - November 20, 1987
THE STUART-JAMES COMPANY, INCORPORATED
June 24, 1983 - September 6, 1983
FIRST FINANCIAL SECURITIES, INC.
March 10, 1980 - June 8, 1983
BLINDER, ROBINSON & CO., INC.
September 13, 1977 - April 4, 1980
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
October 23, 1975 - October 10, 1977
PITTMAN & COMPANY, INCORPORATED
June 5, 1968 - November 13, 1975
INTERNATIONAL SECURITIES CORP.
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: 11/15/1967
Registered Representative ExaminationSeries 00
Date: 8/13/1969
General Securities Principal ExaminationCurrent Firm
RICHFIELD SECURITIES, INC.
CRD#: 16109 / SEC#: , 8-33537
Contact information
Documents
Red Flags
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