Gregory J. 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.
Gregory James Obrien, who also goes by Gregory J Obrien, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1983. Gregory had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2009 - March 29, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 1, 2008 - March 29, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 20, 2005 - December 31, 2007
ON INVESTMENT MANAGEMENT CO
February 9, 2005 - January 29, 2008
THE O.N. EQUITY SALES COMPANY
August 9, 1999 - December 6, 2004
PRUCO SECURITIES, LLC.
November 21, 1983 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 21, 1983 - December 6, 2004
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
