Individual Firm
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Mark Vincent Obrzut
CRD#: 4939583
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 11611 N Meridian St
Ste 600
Carmel, IN 46032-7118
Ste 600
Carmel, IN 46032-7118
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9/13/2015
Customer Dispute
Denied
6/7/1996
Criminal
Final Disposition
State Registrations
B
Arizona 8/3/2018
B
North Carolina 10/26/2023
B
California 6/10/2022
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North Carolina 5/17/2024
B
Colorado 9/10/2019
B
Ohio 1/25/2019
B
Florida 8/3/2018
B
Oklahoma 7/8/2024
B
Georgia 12/6/2019
B
Pennsylvania 8/3/2018
B
Illinois 10/27/2023
B
South Carolina 3/22/2022
B
Indiana 8/3/2018
B
Tennessee 9/6/2024
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Indiana 8/3/2018
B
Texas 11/27/2023
B
Maryland 10/23/2023
IA
Texas 11/27/2023
B
Massachusetts 1/10/2020
B
Washington 7/21/2023
B
Michigan 1/29/2019
B
Wisconsin 10/27/2020
B
New Jersey 4/8/2019
SRO Registrations
B
B
B
B
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Registered with this firm since 8/3/2018
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Registered with this firm since 8/3/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 08/15/2018 | CARMEL, IN | |
B | 10/01/2012 - 08/15/2018 | CARMEL, IN | |
IA | 02/06/2008 - 10/01/2012 | CARMEL, IN | |
B | 02/06/2008 - 10/01/2012 | CARMEL, IN | |
IA | 05/17/2007 - 01/29/2008 | INDIANAPOLIS, IN | |
B | 05/17/2007 - 01/29/2008 | INDIANAPOLIS, IN | |
IA | 04/02/2007 - 05/22/2007 | INDIANAPOLIS, IN | |
B | 04/02/2007 - 05/22/2007 | INDIANAPOLIS, IN | |
IA | 08/22/2006 - 04/02/2007 | INDIANAPOLIS, IN | |
B | 06/29/2006 - 04/02/2007 | INDIANAPOLIS, IN |
INDIANAPOLIS, IN
05/17/2007 - 01/29/2008
INDIANAPOLIS, IN
05/17/2007 - 01/29/2008
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.