William 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.
William John Obrien, CFP®, who also goes by Bill John O'brien, William John O'brien, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 15 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 3, 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
May 14, 2021 - June 15, 2021
NYLIFE SECURITIES LLC
September 1, 2017 - January 3, 2019
WELLS FARGO CLEARING SERVICES, LLC
June 16, 2015 - December 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2006 - August 15, 2006
KOVACK SECURITIES INC.
March 21, 2006 - January 5, 2007
KOVACK ADVISORS, INC.
November 12, 2003 - January 5, 2007
KOVACK SECURITIES INC.
October 7, 2002 - April 10, 2003
FSC SECURITIES CORPORATION
May 20, 2002 - June 21, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 25, 2002 - March 15, 2002
IDS LIFE INSURANCE COMPANY
January 25, 2002 - March 15, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 30, 1999 - August 24, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 1998 - October 20, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 9, 1993 - January 1, 1998
NATIONSSECURITIES
August 23, 1989 - September 29, 1993
DEAN WITTER PUERTO RICO INC.
April 1, 1985 - August 22, 1989
MORGAN STANLEY DW INC.
August 29, 1984 - March 26, 1985
LN SECURITIES, INC.
July 26, 1984 - April 16, 1985
LEPERCQ, DE NEUFLIZE & CO. INCORPORATED
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 7TO
Date: 4/26/2021
General Securities Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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