Dennis L. 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.
Dennis Leonard Obrien was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1984. Dennis had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 1994 - February 6, 2018
RENSSELAER SECURITIES CORP.
November 9, 1984 - December 14, 1993
D.S. COOPER & CO.
April 12, 1984 - October 19, 1984
FORESTERS FINANCIAL SERVICES, INC.
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
Series 55
Date: 5/14/2005
Limited Representative-Equity Trader ExamCurrent Firm
RENSSELAER SECURITIES CORP.
CRD#: 34664 / SEC#: , 8-46313
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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