Michael 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.
Michael Lyman Obrien was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 1997 - December 31, 2022
THE LEADERS GROUP, INC.
May 27, 1994 - November 20, 1996
AMERICAN GENERAL SECURITIES INCORPORATED
October 5, 1987 - December 31, 1989
CAPITAL FINANCIAL SERVICES, INC.
July 16, 1985 - August 3, 1993
C.A.L. INVESTMENT 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
