EC
Erica L. Comeau
OCM INVESTMENTS
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 7074557
EC
Professional summary
Erica Lynn Comeau, who also goes by Erica Lynn Embler, is a registered financial professional currently at OCM INVESTMENTS, LLC located in Los Angeles, California.
Erica is registered as a RR (Registered Representative) and started their career in finance in 2019. Erica has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erica Lynn Embler
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) - BD
Click below to view Erica Lynn Comeau'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
March 13, 2019 - Present
OCM INVESTMENTS, LLC
Office #1: 333 South Grand Avenue 28th Floor, Los Angeles, CA, 90071BD
CRD#: 128803
Los Angeles, CA
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
Alabama(4/2/2019)
RR
Alaska(4/2/2019)
RR
Arizona(4/2/2019)
RR
Arkansas(4/2/2019)
RR
California(4/2/2019)
RR
Colorado(4/2/2019)
RR
Connecticut(4/2/2019)
RR
Delaware(4/2/2019)
RR
District of Columbia(4/2/2019)
RR
Florida(4/2/2019)
RR
Georgia(4/2/2019)
RR
Hawaii(4/2/2019)
RR
Idaho(4/2/2019)
RR
Illinois(4/2/2019)
RR
Indiana(4/2/2019)
RR
Iowa(4/2/2019)
RR
Kansas(4/2/2019)
RR
Kentucky(4/2/2019)
RR
Louisiana(4/2/2019)
RR
Maine(4/2/2019)
RR
Maryland(4/2/2019)
RR
Massachusetts(4/2/2019)
RR
Michigan(4/2/2019)
RR
Minnesota(4/2/2019)
RR
Mississippi(4/2/2019)
RR
Missouri(4/2/2019)
RR
Montana(4/2/2019)
RR
Nebraska(4/2/2019)
RR
Nevada(4/2/2019)
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New Hampshire(4/2/2019)
RR
New Jersey(4/2/2019)
RR
New Mexico(4/2/2019)
RR
New York(4/2/2019)
RR
North Carolina(4/2/2019)
RR
North Dakota(4/2/2019)
RR
Ohio(4/2/2019)
RR
Oklahoma(4/2/2019)
RR
Oregon(4/2/2019)
RR
Pennsylvania(4/2/2019)
RR
Puerto Rico(4/2/2019)
RR
Rhode Island(4/2/2019)
RR
South Carolina(4/2/2019)
RR
South Dakota(4/2/2019)
RR
Tennessee(4/2/2019)
RR
Texas(4/2/2019)
RR
Utah(4/2/2019)
RR
Vermont(4/2/2019)
RR
Virginia(4/2/2019)
RR
Washington(4/2/2019)
RR
West Virginia(4/2/2019)
RR
Wisconsin(4/2/2019)
RR
Wyoming(4/2/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OCM INVESTMENTS, LLC
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Mailing Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Phone number
(213) 830-6300
Established
Delaware since 08/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
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.
