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Edward L. Umali

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CRD#: 4501448
EU

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 Louis Umali was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 2002. Edward had worked at 5 firms and has passed the Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 21, 2012 - March 20, 2013

OBEX SECURITIES LLC

BD
CRD#: 120002
NEW ROCHELLE, NY
Past

December 12, 2011 - December 31, 2015

KRIEGSMAN CAPITAL ADVISORS, LLC

RIA
CRD#: 134494
LOS ANGELES, CA
Past

November 11, 2003 - February 11, 2011

QA3 FINANCIAL LLC

RIA
CRD#: 104957
LOS ANGELES, CA
Past

November 11, 2003 - February 11, 2011

QA3 FINANCIAL CORP.

BD
CRD#: 14754
LOS ANGELES, CA
Past

April 2, 2002 - November 3, 2003

FINANCIAL WEST GROUP

RIA
CRD#: 16668
LOS ANGELES, CA
Past

February 13, 2002 - November 3, 2003

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV

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: 3/19/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/12/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2002
General Securities Principal Examination

Current Firm

OS
OBEX SECURITIES LLC
OBEX SECURITIES LLC

CRD#: 120002 / SEC#: , 8-65242

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
290 Overlook Road, New Rochelle, NY 10804
Mailing Address
290 Overlook Road, New Rochelle, NY 10804
Phone number
(914) 833-1800
Established
Delaware since 08/14/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OBEX GROUP LLCSOLE SHAREHOLDER
KATZENSTEIN, RANDALL JAYPRESIDENT/CEO1209829
ROONEY, ALICE MARGARETCOO/FINOP/CCO/ROSRP1910469

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

OBEX SECURITIES LLC

CRD#: 120002

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