Michael L. Obrien

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CRD#: 1049397

Professional summary

Michael Louis Obrien was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Michael had worked at 11 firms, which includes HAZARD & SIEGEL INC., FORTUNE FINANCIAL SERVICES INC., KOVACK SECURITIES INC., FINANCIAL WEST GROUP, OSAIC WEALTH INC., KEOGLER MORGAN & COMPANY INC., HIBBARD BROWN & CO. INC., FSC SECURITIES CORPORATION, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, LINCOLN NATIONAL PENSION INSURANCE COMPANY, OSAIC FA INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 19, 2011 - May 25, 2012

HAZARD & SIEGEL, INC.

CRD#: 2048

HAGERSTOWN, MD

Past

September 27, 2005 - October 4, 2011

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

WILLIAMSPORT, MD

Past

January 3, 2005 - July 22, 2005

KOVACK SECURITIES INC.

CRD#: 44848

FT. LAUDERDALE, FL

Past

May 1, 2000 - November 30, 2004

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

January 31, 1997 - May 17, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 19, 1987 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

April 3, 1987 - May 27, 1987

HIBBARD BROWN & CO., INC.

CRD#: 18246

Past

January 5, 1987 - April 21, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

December 28, 1981 - February 3, 1987

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

Past

December 28, 1981 - March 4, 1988

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

December 28, 1981 - March 4, 1988

OSAIC FA, INC.

CRD#: 3978

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/16/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HAZARD & SIEGEL, INC.

CRD#: 2048 / SEC#: , 8-13942

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

5793 Widewaters Parkway, Dewitt, NY 13214

Mailing Address

Po Box 157, Syracuse, NY 13214

Phone number

(315) 414-0722

Established

New York since 06/15/1971

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH, ALEXANDER SOTIR JR	CHIEF EXECUTIVE OFFICER	1092307
MULLEN, DAVID MARK	PRESIDENT/CHIEF COMPLIANCE OFFICER	1327419

Red Flags

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Michael L. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

KOVACK SECURITIES INC.

FINANCIAL WEST GROUP

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

HIBBARD BROWN & CO., INC.

FSC SECURITIES CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

LINCOLN NATIONAL PENSION INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/1983

Series 7

Date: 12/19/1987

Series 6

Date: 4/16/1982

Current Firm

HAZARD & SIEGEL, INC.

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HAZARD & SIEGEL, INC.

TRUST BUT VERIFY

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