Thomas M. Obrien
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Michael Obrien CHFC, who also goes by Thomas Michael Obrien, Tom Obrien, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2011 - January 2, 2018
ON INVESTMENT MANAGEMENT CO
April 1, 2011 - January 2, 2018
THE O.N. EQUITY SALES COMPANY
October 2, 2006 - April 11, 2011
LPL FINANCIAL LLC
October 2, 2006 - April 11, 2011
LPL FINANCIAL LLC
January 8, 2002 - December 1, 2004
EXECUTIVE BENEFITS ADVISORS, LTD.
January 1, 2000 - April 7, 2011
QUEEN CITY RETIREMENT ADVISORS INC
May 3, 1999 - October 25, 2006
PARK AVENUE SECURITIES LLC
May 3, 1999 - October 25, 2006
PARK AVENUE SECURITIES LLC
May 9, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
December 1, 1993 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
July 8, 1988 - October 27, 1993
TITAN/VALUE EQUITIES GROUP, INC.
February 23, 1988 - June 23, 1988
KAVANAUGH SECURITIES, INC.
October 12, 1987 - February 4, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 24, 1984 - September 24, 1987
FSC SECURITIES CORPORATION
January 27, 1982 - January 9, 1984
WADDELL & REED
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
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