Mark E. Obal
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.
Mark E. Obal, who also goes by Mark Edward Obal, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2014 - June 2, 2025
J.P. MORGAN SECURITIES LLC
December 4, 2014 - June 2, 2025
J.P. MORGAN SECURITIES LLC
June 20, 2014 - November 25, 2014
U.S. BANCORP INVESTMENTS, INC.
June 20, 2014 - November 25, 2014
U.S. BANCORP INVESTMENTS, INC.
February 1, 2011 - June 23, 2014
CITIZENS SECURITIES, INC.
February 1, 2011 - June 23, 2014
CITIZENS SECURITIES, INC.
May 11, 2009 - January 27, 2011
VALIC FINANCIAL ADVISORS, INC.
May 11, 2009 - January 27, 2011
VALIC FINANCIAL ADVISORS, INC.
January 14, 2008 - May 6, 2009
NATCITY INVESTMENTS, INC.
January 14, 2008 - May 6, 2009
NATCITY INVESTMENTS, INC.
September 28, 2006 - January 31, 2008
INVEST FINANCIAL CORPORATION
June 5, 2006 - January 31, 2008
INVEST FINANCIAL CORPORATION
March 30, 2005 - June 7, 2006
METROPOLITAN LIFE INSURANCE COMPANY
March 30, 2005 - June 7, 2006
MSI FINANCIAL SERVICES, INC.
September 1, 2000 - March 24, 2005
W&S BROKERAGE SERVICES, INC.
May 24, 2000 - September 1, 2000
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
