Stephen V. 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.
Stephen Vincent O'brien, who also goes by Stephen VIncent Obrien, Steve Obrien, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2009 - January 31, 2019
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December 4, 2009 - January 31, 2019
XML SECURITIES
June 1, 2009 - December 18, 2009
MORGAN STANLEY
June 1, 2009 - December 18, 2009
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 24, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
December 21, 1982 - August 12, 1983
FOSTER & MARSHALL INC.
State Registrations and Notice Filings
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Exams
Current Firm
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CRD#: 145589 / SEC#: 801-68535, 8-67776
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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