Daniel J. 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.
Daniel John Obrien, who also goes by Dan John Obrien, Dan Obrien, Daniel Obrien, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1997. Daniel had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2004 - August 21, 2006
BROOKSTREET SECURITIES CORPORATION
August 8, 2003 - November 12, 2003
WINEBRENNER CAPITAL PARTNERS, LLC
September 19, 2002 - July 28, 2003
STIFEL INDEPENDENT ADVISORS, LLC
September 12, 2002 - July 28, 2003
STIFEL INDEPENDENT ADVISORS, LLC
January 26, 2000 - September 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 26, 2000 - September 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
September 2, 1997 - February 14, 2000
UBS FINANCIAL SERVICES INC.
June 25, 1997 - October 9, 1997
BROOKLIGHT PLACE SECURITIES, 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
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
