Terence 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.
Terence Leo Obrien, who also goes by Terry Obrien, was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 1985. Terence had worked at 8 firms and has passed the Series 63 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
January 21, 2000 - August 17, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
September 1, 1999 - January 12, 2000
SOLID ISG CAPITAL MARKETS, LLC
April 18, 1997 - June 25, 1999
PRIME CHARTER LTD.
June 15, 1992 - April 23, 1997
CIBC WORLD MARKETS CORP.
May 1, 1990 - June 12, 1992
LEHMAN BROTHERS INC.
May 22, 1989 - March 28, 1990
CITIGROUP GLOBAL MARKETS INC.
February 19, 1988 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 11, 1985 - March 24, 1988
LEHMAN BROTHERS INC.
May 1, 1985 - August 29, 1985
GREENTREE SECURITIES CORP.
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
MONTROSE CAPITAL MANAGEMENT LTD.
CRD#: 40799 / SEC#: , 8-49195
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACARUSCO, DAVID | DIRECTOR | |
| SCOTTI, JOSEPH M | DIRECTOR | 2845621 |
| BUCHANAN, VINCENT ANTHONY | CHIEF FINANCIAL OFFICER | 34247 |
| DANTES, EDMOND LOUIS | OPERATIONS MANAGER | 702381 |
| DRUCKS, NEIL | SHAREHOLDER | 4103340 |
| JACOBSON, ALLEN FRANK | SHAREHOLDER | 2299692 |
| MITAROTONDO, DOMINICK | HEAD TRADER | 1218598 |
| ROSNER,, STEVEN | SHAREHOLDER | 4100927 |
| SUTTON, DAVID H | SHAREHOLDER | 4099204 |
| TELFER, JOHN DAVID | SENIOR REGISTERED OPTIONS PRINCIPLE | 1099745 |
| TELFER, JOHN DAVID | CHIEF COMPLIANCE OFFICER | 1099745 |
| TELFER, JOHN DAVID | CHIEF OPERATIONS OFFICER | 1099745 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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