Edward M. Obuchowski
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.
Edward Michael Obuchowski, who also goes by Ed Obuchowski, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2020 - September 16, 2020
INVESTACORP, INC.
April 21, 2020 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
April 21, 2020 - November 23, 2020
SECURITIES SERVICE NETWORK, LLC
April 21, 2020 - August 19, 2024
SECURITIES AMERICA, INC.
April 21, 2020 - August 23, 2024
TRIAD ADVISORS LLC
April 21, 2020 - June 20, 2025
LADENBURG THALMANN & CO. INC.
May 23, 2018 - September 1, 2023
OSAIC SERVICES, INC.
May 23, 2018 - November 3, 2023
FSC SECURITIES CORPORATION
May 23, 2018 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
May 23, 2018 - June 20, 2025
OSAIC WEALTH, INC.
July 26, 2007 - April 12, 2018
CHARLES SCHWAB & CO., INC.
May 3, 2000 - December 7, 2007
CYBERTRADER, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/14/2002
Limited Representative-Equity Trader ExamCurrent Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
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.
