Patrick D. 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.
Patrick Dennis O'brien, who also goes by Patrick D Obrien, Patrick Dennis Obrien, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1989. Patrick had worked at 6 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
January 17, 2019 - December 2, 2019
INDEPENDENT BROKERAGE SOLUTIONS LLC
April 22, 2008 - May 4, 2018
BEDROK SECURITIES LLC
September 10, 2002 - March 28, 2008
CREDIT SUISSE SECURITIES (USA) LLC
March 25, 2002 - September 6, 2002
GUGGENHEIM SECURITIES, LLC
August 23, 1989 - December 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 18, 1989 - August 10, 1995
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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