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JO

Jeffrey K. Oberg

JOHNSTONE BROKERAGE SERVICES
Louisville, KY 40223
Some features on this profile are disabled
CRD#: 6254386
JO

Professional summary

Jeffrey Kenneth Oberg, who also goes by Jeffrey Kenneth Oberg, Jk Oberg, is a registered financial professional currently at JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2013. Jeffrey has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Kenneth Oberg | Jk Oberg

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) - BD

Click below to view Jeffrey Kenneth Oberg'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

April 27, 2026 - Present

JOHNSTONE BROKERAGE SERVICES, LLC

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223Office #2: 1906 Stanley Gault Parkway, Louisville, KY 40223
BD
CRD#: 301394
Louisville, KY
Past

February 6, 2023 - April 27, 2026

THE LEADERS GROUP, INC.

BD
CRD#: 37157
Louisville, KY
Past

August 31, 2020 - January 11, 2023

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
Boca Raton, FL
Past

May 1, 2019 - August 31, 2020

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

January 24, 2018 - April 22, 2019

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
BRENTWOOD, TN
Past

March 3, 2017 - January 8, 2018

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
BRIGHTON, MA
Past

December 27, 2016 - January 8, 2018

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
BRIGHTON, MA
Past

February 2, 2016 - December 27, 2016

THE O.N. EQUITY SALES COMPANY

BD
CRD#: 2936
Cincinnati, OH
Past

January 2, 2015 - December 31, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
MILLBURY, MA
Past

November 2, 2013 - January 15, 2015

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Tennessee
(4/27/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/3/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/2/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JB
JOHNSTONE BROKERAGE SERVICES, LLC
JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223
Mailing Address
117 San Augustine Street, Center, TX 75935
Phone number
(936) 340-2929
Established
Texas since 12/31/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPL FINANCIAL PARTNERS, LLCPARENT COMPANY
ARCH PORTFOLIO TRUST, LLCMEMBER.
NAVEED, HASNAINFINOP7004810
PULLIAM, MICHELLE CARROLLCHIEF COMPLIANCE OFFICER4013218
SMITH, ROY THOMASMANAGING PRINCIPAL2542940

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

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394Louisville, KY 40223

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