Neil P. 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.
Neil P O'brien, who also goes by Neil P Obrien, Neil Peter Obrien, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1984. Neil had worked at 10 firms and has passed the Series 63, Series 7 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
February 20, 2013 - February 28, 2013
BONDS.COM LLC
September 9, 2010 - March 27, 2012
SCOTT & STRINGFELLOW, LLC
March 16, 2010 - August 17, 2010
BUCKMAN, BUCKMAN & REID, INC.
November 7, 2007 - April 10, 2008
PULSE TRADING, INC.
April 16, 2001 - March 1, 2002
MARKET AXESS INC.
March 15, 2000 - November 15, 2002
MARKETAXESS CORPORATION
October 22, 1991 - March 3, 1999
SCHRODER & CO. INC.
January 12, 1987 - November 5, 1991
KEYBANC CAPITAL MARKETS INC.
July 2, 1985 - July 7, 1986
ADVEST, INC.
June 20, 1984 - October 15, 1984
ROONEY, PACE 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
Current Firm
BONDS.COM LLC
CRD#: 43875 / SEC#: , 8-50451
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
