TO
Timothy J. Oberley
INDEPENDENT WEALTH NETWORK
Ft. Wayne, IN 46825
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CRD#: 5348077
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Professional summary
Timothy J Oberley SR., who also goes by Tim Oberley, Timothy J Oberley, Timothy Jon Oberley, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Ft. Wayne, Indiana.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Timothy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Oberley | Timothy J Oberley | Timothy Jon Oberley
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.
1) Capital Insurance & Financial Services, LLC. - Life & Fixed Insurance - Owner & Insurance Advisor - Ft. Wayne, IN. started 03/2001 - 40 hours monthly during trading hours - insurance product sales. 2) Visions in Renovations, LLC. - Real Estate - Owner - Ft. Wayne, IN. started xx/2016 - 30 hours, 10 during trading hours - A portfolio of rentals that are renovated, rented, or resold (1-2 per year).
CRS (Client Relationship Summary) - RIA
Click below to view Timothy J Oberley SR.'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
February 17, 2021 - Present
INDEPENDENT WEALTH NETWORK, INC.
Office #1: Capital Insurance And Financial Services Llc 6319 Mutual Dr. Ste. H, Ft. Wayne, IN 46825RIA
CRD#: 286262
Ft. Wayne, IN
Past
January 29, 2013 - February 17, 2021
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
RIA
CRD#: 109701
FORT WAYNE, IN
Past
January 9, 2013 - February 17, 2021
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
FORT WAYNE, IN
Past
March 3, 2010 - December 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FORT WAYNE, IN
Past
February 3, 2010 - December 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FORT WAYNE, IN
Past
December 20, 2007 - February 11, 2010
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
FORT WAYNE, IN
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".
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 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
Alaska(4/1/2021)
IAR
Indiana(2/17/2021)
IAR
Michigan(6/17/2021)
IAR
Ohio(6/16/2021)
IAR
Virginia(2/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2350 Nw 128th St, Urbandale, IA 50323
Mailing Address
Phone number
(515) 461-5123
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,626 |
| AUM (Assets Under Management) | $ 422,577,169 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
