Thomas M. Obrist

PROFESSIONAL FINANCIAL ADVISORS

North Platte, NE 69101-5311

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CRD#: 4564220

Professional summary

Thomas M Obrist, who also goes by Tom Obrist, is a registered financial advisor currently at PROFESSIONAL FINANCIAL ADVISORS, LLC located in North Platte, Nebraska.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Obrist

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) - RIA

Click below to view Thomas M Obrist's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 19, 2015 - Present

PROFESSIONAL FINANCIAL ADVISORS, LLC

Office #1: 1400 S Dewey St Suite 300, North Platte, NE 69101-5311

RIA

CRD#: 173719

North Platte, NE

Past

April 14, 2011 - November 30, 2015

OSAIC SERVICES, INC.

RIA

CRD#: 133763

NORTH PLATTE, NE

Past

October 31, 2005 - December 18, 2017

OSAIC SERVICES, INC.

CRD#: 133763

NORTH PLATTE, NE

Past

February 28, 2003 - October 1, 2010

PROFESSIONAL FINANCIAL ADVISORS, LLC

RIA

CRD#: 124602

NORTH PLATTE, NE

Past

August 28, 2002 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROFESSIONAL FINANCIAL ADVISORS, LLC

PROFESSIONAL FINANCIAL ADVISORS, LLC | TOTAL PORTFOLIOS

CRD#: 173719 / SEC#: 801-114978

RIA

Registered Investment Advisory firm - (4/10/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Kansas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Missouri

Registered Investment Advisory firm - (4/22/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Wyoming

Registered Investment Advisory firm - (4/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(5/19/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/2002

General Securities Representative Examination

Current Firm

PROFESSIONAL FINANCIAL ADVISORS, LLC

PROFESSIONAL FINANCIAL ADVISORS, LLC | TOTAL PORTFOLIOS

CRD#: 173719 / SEC#: 801-114978

RIA

Registered Investment Advisory firm - (4/10/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Kansas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Missouri

Registered Investment Advisory firm - (4/22/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Wyoming

Registered Investment Advisory firm - (4/22/2019 Terminated)

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Contact information

Main Address

1400 S Dewey St Suite 300, North Platte, NE 69101-5311

Mailing Address

Po Box 1070, North Platte, NE 69103-1070

Phone number

(308) 534-8210

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFESSIONAL FINANCIAL ADVISORS, LLC ADV BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	2,991
AUM (Assets Under Management)	$ 614,113,385

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.

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Thomas M. Obrist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas M Obrist's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

PROFESSIONAL FINANCIAL ADVISORS, LLC

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

PROFESSIONAL FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2002

SIE

Date: 12/18/2017

Series 7

Date: 8/27/2002

Current Firm

PROFESSIONAL FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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