Stephen K. 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.
Stephen Kenlon O'brien, who also goes by Stephen George Kenlon, Stephen Kenlon Obrien, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 13 firms and has passed the Series 63, 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
March 25, 2014 - January 5, 2016
SALIENT CAPITAL L.P.
September 18, 2012 - November 22, 2013
CENTAURUS FINANCIAL, INC.
May 28, 2010 - June 17, 2010
G.RESEARCH, LLC
November 14, 2008 - May 1, 2009
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
October 3, 2007 - May 1, 2009
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 6, 2005 - October 5, 2007
CENTAURUS FINANCIAL, INC.
September 11, 2002 - July 7, 2003
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
November 9, 2001 - August 1, 2002
GUGGENHEIM DISTRIBUTORS, LLC
November 16, 1999 - November 8, 2001
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 21, 1993 - November 16, 1999
NORTHSTAR DISTRIBUTORS, INC.
February 7, 1990 - December 20, 1993
NSR DISTRIBUTORS, INC.
August 29, 1989 - October 19, 1989
PSI SECURITIES CORPORATION
June 3, 1987 - August 3, 1989
METRIC CAPITAL CORPORATION
March 18, 1985 - March 27, 1986
MORGAN STANLEY DW 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
SALIENT CAPITAL L.P.
CRD#: 147912 / SEC#: , 8-67938
Contact information
FINRA licenses (52 States and Territories)
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.
