Michael E. 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 Edward Obrien, who also goes by Michael E Obrien, Mike 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 7 firms and has passed the Series 65, Series 63, SIE, Series 22 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
July 16, 2007 - October 31, 2017
GROVE POINT INVESTMENTS, LLC
July 12, 2007 - October 31, 2017
GROVE POINT INVESTMENTS, LLC
September 30, 2002 - June 29, 2007
AMERITAS INVESTMENT COMPANY, LLC
September 11, 2002 - June 29, 2007
AMERITAS INVESTMENT COMPANY, LLC
March 11, 2002 - September 4, 2002
ONEAMERICA SECURITIES, INC.
September 17, 2001 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
September 17, 2001 - September 4, 2002
ONEAMERICA SECURITIES, INC.
February 12, 2001 - October 29, 2001
NEW ENGLAND SECURITIES
December 12, 1997 - December 21, 2000
AMERITAS INVESTMENT COMPANY, LLC
July 24, 1997 - December 11, 1997
SUNAMERICA SECURITIES, INC.
October 7, 1985 - February 7, 1997
NYLIFE SECURITIES LLC
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
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 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.
