David O'brien
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.
David O'brien, who also goes by David Gerard O'brien, David Gerard Obrien, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - September 25, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 25, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 29, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 6, 2002 - March 6, 2008
JANNEY MONTGOMERY SCOTT LLC
November 24, 2000 - December 10, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2000 - December 10, 2002
WELLS FARGO CLEARING SERVICES, LLC
April 26, 1996 - November 14, 2000
UBS FINANCIAL SERVICES INC.
July 31, 1993 - May 13, 1996
CITIGROUP GLOBAL MARKETS INC.
March 20, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
December 22, 1988 - March 22, 1990
A. G. EDWARDS & SONS, INC.
August 28, 1987 - December 22, 1988
MOORS & CABOT, INC.
June 22, 1983 - September 3, 1987
W.A. ROGERS SECURITIES, INC.
July 28, 1982 - May 22, 1984
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
