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Ashley K. Ober

Some features on this profile are disabled
CRD#: 4192972
AO

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.

Ashley Keith Ober, who also goes by Ashley K Ober, was a registered financial professional .

Ashley is a previously registered financial professional and started their career in finance in 2000. Ashley had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley K Ober

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 29, 2010 - December 31, 2015

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA
CRD#: 137115
SCOTTSDALE, AZ
Past

November 4, 2010 - December 31, 2015

BMO HARRIS FINANCIAL ADVISORS, INC.

BD
CRD#: 137115
SCOTTSDALE, AZ
Past

October 29, 2009 - August 3, 2010

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SCOTTSDALE, AZ
Past

October 19, 2009 - August 3, 2010

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SCOTTSDALE, AZ
Past

April 10, 2008 - October 22, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PHOENIX, AZ
Past

March 31, 2008 - October 22, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PHOENIX, AZ
Past

September 27, 2006 - March 13, 2008

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
SCOTTSDALE, AZ
Past

July 1, 2006 - March 13, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
SCOTTSDALE, AZ
Past

September 27, 2005 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
SCOTTSDALE, AZ
Past

September 13, 2005 - July 1, 2006

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
SCOTTSDALE, AZ
Past

January 7, 2003 - October 13, 2003

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
SCOTTSDALE, AZ
Past

December 16, 2002 - October 13, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 7, 2001 - November 22, 2002

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

September 19, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2000
General Securities Representative Examination

Current Firm

BH
BMO HARRIS FINANCIAL ADVISORS, INC.
BANK OF MONTREAL | HARRIS INVESTOR SERVICES, INC. | BMO HARRIS FINANCIAL ADVISORS, INC. | BMO HARRIS FINANCIAL ADVISORS, INC | BMO HARRIS FINANCIAL ADVISORS | BHFA

CRD#: 137115 / SEC#: 801-64847, 8-67064

BD
Terminated by SEC on 10/29/2021
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Contact information

Main Address
115 S Lasalle Street 13w, Chicago, IL 60603
Mailing Address
Phone number
Established
Delaware since 08/17/2005
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

BHFA FORM ADV PART 2A (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORPSHAREHOLDER
LAKE, STEPHANIE ANNCHIEF FINANCIAL OFFICER, FIN OP5845009
MCMILLAN, DARREN CHARLESCHIEF COMPLIANCE OFFICER2347547

Disclosures

Regulatory Event7

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.

Company Information

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

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