James G. 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 Gerard Obrien was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 10 firms and has passed the Series 63, SIE 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
November 4, 2002 - December 16, 2022
VANDERBILT SECURITIES, LLC
February 16, 2001 - November 5, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 30, 1998 - February 21, 2001
FIRST MONTAUK SECURITIES CORP.
June 29, 1990 - February 19, 1998
ROBERT THOMAS SECURITIES, INC
August 5, 1987 - July 9, 1990
INVEST FINANCIAL CORPORATION
April 7, 1987 - July 27, 1987
DOMESTIC ARBITRAGE GROUP, INC.
January 6, 1987 - March 27, 1987
MICHAEL PHILIP SECURITIES, INC.
August 21, 1986 - December 22, 1986
MARGATE SECURITIES, INC.
July 3, 1986 - September 4, 1986
INVESTORS CENTER, INC.
May 21, 1986 - June 17, 1986
EQUITABLE SECURITIES OF NEW YORK,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
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| 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.
