AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check

FIND A OBEX SECURITIES LLC FINANCIAL ADVISOR NEAR ME

Find, Compare and Monitor Financial Advisors at OBEX SECURITIES LLC

CRD#: 120002
BD

Looking for a Financial Advisor at OBEX SECURITIES LLC?

We have compiled every financial advisor who works at OBEX SECURITIES LLC in our database for you to search through. On this page, you will be able to find the closest financial advisors to you geographically, advisors with specific certifications that you are looking for, as well as many other filtering capabilities to help you search.

If you need additional assistance finding the specific financial advisor you are looking for, please use our search tool below and type in either their name or CRD number.

FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

OBEX SECURITIES LLC is located at 290 Overlook Road, New Rochelle, NY 10804 and was first established at Woodbridge, Delaware in 08/14/2001. After operating for 24 years, OBEX SECURITIES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of OBEX SECURITIES LLC’s clients are individuals and 0% of their clients are high net worth individuals. OBEX SECURITIES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at OBEX SECURITIES LLC are registered to handle securities or provide financial advice. The firm has 0 disclosures, 0 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access OBEX SECURITIES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at OBEX SECURITIES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

Crafted using large generative AI models

Where the Statistical Data for OBEX SECURITIES LLC Comes From

Understanding the Statistics for OBEX SECURITIES LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
No Disclosures

FIRM INFORMATION

Main Address
290 Overlook Road, New Rochelle, NY 10804
Mailing Address
290 Overlook Road, New Rochelle, NY 10804
Firm Size
Small
Phone Number
(914) 833-1800
Established
Delaware since 08/14/2001
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
OBEX GROUP LLCSOLE SHAREHOLDER
KATZENSTEIN, RANDALL JAYPRESIDENT/CEO1209829
ROONEY, ALICE MARGARETCOO/FINOP/CCO/ROSRP1910469

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

How Do I Determine Which Firm to Work With?

Advisor's working at OBEX SECURITIES LLC

AR

Alice Margaret Rooney

RR
CRD#: 1910469
Location:
New Rochelle, NY
Company:
OBEX SECURITIES LLC
Disclosures:
Experience:
37 years
View Profile
MF

Mark Alan Fichtenbaum

RR
CRD#: 2169867
Location:
New Rochelle, NY 10804
Company:
OBEX SECURITIES LLC
Disclosures:
Experience:
34 years
View Profile
RK

Randall Jay Katzenstein

Randy Katzenstein
RR
CRD#: 1209829
Location:
New Rochelle, NY
Company:
OBEX SECURITIES LLC
Disclosures:
Experience:
42 years
View Profile
Name or CRD#
Location
Firm name (optional)
Credentials
Advisor type
Disclosures
Experience (Years)

Compare statistics for financial advisors here.

Review financial advisor disclosures here.

footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics