Timothy D. 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.
Timothy David Obrien was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 7 firms and has passed the 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
May 4, 2012 - August 18, 2020
FELTL & COMPANY
January 25, 2002 - May 21, 2012
ROBERT W. BAIRD & CO. INCORPORATED
January 13, 1995 - January 30, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 11, 1990 - January 12, 1995
MORGAN STANLEY DW INC.
February 9, 1988 - May 9, 1990
PIPER SANDLER & CO.
October 17, 1984 - February 24, 1988
E. F. HUTTON & COMPANY INC
October 31, 1983 - October 10, 1984
ALLISON-WILLIAMS COMPANY
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
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
