John G. 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.
John Gregory Obrien was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 6 firms and has passed the Series 63, Series 7TO, SIE 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
October 22, 2015 - November 30, 2023
INDEPENDENT BROKERAGE SOLUTIONS LLC
December 2, 2011 - May 2, 2014
STONECASTLE SECURITIES, LLC
January 27, 1999 - November 14, 2011
GUGGENHEIM SECURITIES, LLC
August 1, 1989 - January 29, 1999
PERSHING LLC
April 28, 1988 - August 7, 1989
THOMSON MCKINNON SECURITIES INC.
November 9, 1984 - February 23, 1988
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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