James M. 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.
James Michael Obrien was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63, SIE, Series 3 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 2, 2015 - March 29, 2016
SG AMERICAS SECURITIES, LLC
April 4, 2008 - January 2, 2015
NEWEDGE USA, LLC
August 1, 1997 - September 1, 2008
NEWEDGE FINANCIAL INC.
November 23, 1992 - August 1, 1997
MORGAN STANLEY DW INC.
August 8, 1985 - November 24, 1992
DISCOUNT CORPORATION OF NEW YORK FUTURES
May 21, 1985 - July 31, 1985
KENNEY & BRANISEL MUNICIPALS, 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
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
