Colleen P. 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.
Colleen Patricia O'brien, who also goes by Colleen Patricia Rice, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1987. Colleen had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 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
March 4, 2014 - October 22, 2021
STIFEL INDEPENDENT ADVISORS, LLC
December 16, 2010 - May 30, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 30, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 26, 2002 - March 14, 2003
WELLS FARGO INVESTMENTS, LLC
January 15, 2002 - March 14, 2003
WELLS FARGO INVESTMENTS, LLC
January 28, 1999 - August 31, 2001
BANC OF AMERICA SECURITIES LLC
August 11, 1997 - October 13, 1998
ROTH CAPITAL PARTNERS, LLC
October 22, 1993 - August 4, 1997
MONTGOMERY SECURITIES
December 22, 1987 - October 8, 1993
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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 55
Date: 2/18/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 9/25/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
