Stephen Vincent O'brien
Professional Summary
Stephen Vincent O'brien, who also goes by Stephen VIncent Obrien, Steve Obrien, was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1982 - 2019. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Vincent Obrien, Steve Obrien
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITAL SPORTS GROUP | XML SECURITIES, LLC | XML SECURITIES | LARA, SHULL & MAY, LTD. | LARA, SHULL & MAY, LTD (SUCCESSOR) | LARA, SHULL & MAY, LLC (SUCCESSOR0 | LARA, SHULL & MAY, LLC (SUCCESSOR) | LARA, SHULL & MAY, LLC | LARA, SHULL & MAY | LARA, MAY & ASSOCIATES, LLC | LARA, MAY & ASSOCIATES
Contact Information
Main Address
6901 Rockledge Drive Suite 120 East, Falls Church, VA 22043Mailing Address
6901 Rockledge Drive Suite 730, Bethesda, MD 20817Phone Number
(703) 827-2300Established
Delaware since 09/26/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Disclosures
Regulatory Event
6Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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