SO
Sean J. Obrien
CITIZENS SECURITIES
NO QUINCY, MA 02171
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CRD#: 1624520
SO
Professional summary
Sean Joseph Obrien, who also goes by Sean Joseph O'brien, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in No Quincy, Massachusetts.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Sean has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Joseph O'brien
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 10/05/2020 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 01/12/2023 - FRG Holdings ( LPBD) - Not Investment Related - Limited Purpose Broker Dealer
CRS (Client Relationship Summary) - RIA
Click below to view Sean Joseph Obrien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Joseph Obrien's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 371 Hancock Street, No Quincy, MA 02171Office #2: 65 Newport Avenue, Quincy, MA 02171RIA
BD
CRD#: 39550
NO QUINCY, MA
Current
January 19, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 371 Hancock Street, No Quincy, MA 02171Office #2: 65 Newport Avenue, Quincy, MA 02171RIA
BD
CRD#: 39550
NO QUINCY, MA
Past
October 13, 2020 - February 13, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROCKTON, MA
Past
October 5, 2020 - February 13, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BROCKTON, MA
Past
May 23, 2017 - October 6, 2020
HORACE MANN INVESTORS, INC.
RIA
CRD#: 11643
STOUGHTON, MA
Past
May 16, 2017 - October 6, 2020
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
STOUGHTON, MA
Past
March 25, 2017 - May 8, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SOUTH EASTON, MA
Past
March 10, 2009 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SOUTH EASTON, MA
Past
October 18, 2006 - June 19, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
February 5, 2001 - October 20, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
March 7, 1997 - March 20, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
August 31, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 28, 1989 - August 11, 1995
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
March 3, 1987 - January 23, 1989
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(1/19/2023)
RR
Rhode Island(1/19/2023)
IAR
Rhode Island(1/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550No Quincy, MA 02171TRUST BUT VERIFY
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Contact information
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