Douglas 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.
Douglas O'brien, who also goes by Douglas James Obrien Sr, Douglas James Obrien, Douglas Obrien, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1986. Douglas had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2020 - April 11, 2023
UBS SECURITIES LLC
June 30, 2010 - April 11, 2023
UBS FINANCIAL SERVICES INC.
March 25, 2008 - June 29, 2010
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
January 29, 2007 - March 17, 2008
HENNION & WALSH, INC.
May 4, 2006 - July 11, 2006
POPULAR SECURITIES, LLC
February 27, 2004 - May 11, 2005
RBC CAPITAL MARKETS, LLC
July 11, 2000 - December 31, 2002
WILLIAM R. HOUGH & CO.
July 10, 2000 - February 27, 2004
WILLIAM R. HOUGH & CO.
March 21, 1998 - June 30, 2000
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
August 29, 1997 - March 17, 1998
A. F. BEST SECURITIES, INC.
October 8, 1996 - July 29, 1997
E.A. MOOS & CO. L.P.
July 30, 1991 - October 4, 1996
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
December 22, 1987 - July 19, 1991
PERSHING LLC
January 14, 1986 - December 21, 1987
LEHMAN BROTHERS 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
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
