Bethany 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.
Bethany Lynn Obrien, who also goes by Bethany Lynn Dannunzio, Bethany Dannunzio, Bethany Lynn Gravelin, Bethany Lynn O Brien, was a registered financial professional .
Bethany is a previously registered financial professional and started their career in finance in 1987. Bethany had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2017 - July 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 22, 2016 - December 31, 2016
RETIREONE INVESTMENT SERVICES, LLC
September 1, 2011 - April 22, 2016
SANDERS MORRIS LLC
November 2, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 2, 2006 - September 15, 2011
MSI FINANCIAL SERVICES, INC.
July 14, 2006 - September 26, 2006
CETERA ADVISORS LLC
December 13, 2005 - June 13, 2006
CHARLES SCHWAB & CO., INC.
April 7, 2004 - December 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 9, 2003 - March 29, 2004
ZIONS DIRECT, INC.
October 22, 2001 - January 23, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 31, 2000 - July 23, 2001
PIPER SANDLER & CO.
April 27, 2000 - August 3, 2000
CITIGROUP GLOBAL MARKETS INC.
November 11, 1994 - April 7, 2000
CITIGROUP GLOBAL MARKETS INC.
January 27, 1994 - October 24, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
July 9, 1992 - December 14, 1992
CITIGROUP GLOBAL MARKETS INC.
February 7, 1992 - August 5, 1992
UBS FINANCIAL SERVICES INC.
September 4, 1990 - January 27, 1992
WELLS FARGO CLEARING SERVICES, LLC
June 12, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
October 21, 1987 - June 20, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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
Series 8
Date: 6/18/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
