Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
VICTORIA LYNNE OBERMILLER
Tori Obermiller, TORI LYNNE RICHTER, VICTORIA LYNNE RICHTER
CRD#: 6310654
IA
Investment Adviser
B
Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 1120 North Town Center
Suite #170
Las Vegas, NV 89144-6303
Registration History
2014201520162017201820192020202120222023202420252026IACHARLES SCHWAB & CO., INC. (CRD# 5393)2022 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2019 - Present (6 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2018 (3 years)
License(s)

State Registrations

B
Arizona 5/23/2022
IA
Nevada 5/13/2022
B
California 5/23/2022
B
Utah 5/23/2022
B
Nevada 3/18/2019

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1120 North Town Center Suite #170, Las Vegas, NV 89144-6303
Registered with this firm since 5/13/2022
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
1120 North Town Center Suite #170, Las Vegas, NV 89144-6303
Registered with this firm since 3/18/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/28/2014 - 01/19/2018 J.P. MORGAN SECURITIES LLC (CRD#:79) LAS VEGAS, NV
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.