TO
Thomas M. Obrist
PROFESSIONAL FINANCIAL ADVISORS
North Platte, NE 69101-5311
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CRD#: 4564220
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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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas M Obrist's 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®
NoneExperience
Current
May 19, 2015 - Present
PROFESSIONAL FINANCIAL ADVISORS, LLC
Office #1: 1400 S Dewey St Suite 300, North Platte, NE 69101-5311RIA
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.
BD
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.
BD
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".
PF
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)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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PF
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)Upgrade to AdvisorCheck Premium
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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
10
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,991 |
| AUM (Assets Under Management) | $ 614,113,385 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROFESSIONAL FINANCIAL ADVISORS, LLC
CRD#: 173719North Platte, NE 69101-5311TRUST BUT VERIFY
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