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CO

Christopher J. Obrien

KOVACK SECURITIES
Wareham, MA 02571
Some features on this profile are disabled
CRD#: 1995225
CO

Professional summary

Christopher James Obrien, who also goes by Christopher James O'brien, Christopher James Obrien, is a registered financial professional currently at KOVACK SECURITIES INC. located in Wareham, Massachusetts.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1990. Christopher has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher James O'brien | Christopher James Obrien

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher James Obrien's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 6, 2022 - Present

KOVACK SECURITIES INC.

Office #1: 2527 Cranberry Highway, Wareham, MA 02571
BD
CRD#: 44848
Wareham, MA
Past

March 7, 2022 - June 16, 2022

SECURITIES AMERICA, INC.

BD
CRD#: 10205
WAREHAM, MA
Past

December 20, 2019 - March 8, 2022

OSAIC FA, INC.

BD
CRD#: 3978
WAREHAM, MA
Past

September 11, 2018 - December 24, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Wareham, MA
Past

May 10, 2017 - September 11, 2018

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
Wareham, MA
Past

June 12, 2014 - April 4, 2017

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
NANTUCKET, MA
Past

November 14, 2008 - June 13, 2014

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
WAREHAM, MA
Past

August 3, 2006 - May 9, 2008

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
SO. DARTMOUTH, MA
Past

May 17, 2005 - May 4, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
SOMERSET, MA
Past

April 27, 2004 - May 20, 2005

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

May 14, 2001 - April 30, 2004

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

December 14, 1999 - May 10, 2001

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
JOHNSTON, RI
Past

June 19, 1997 - December 21, 1999

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA
Past

May 29, 1990 - August 17, 1995

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Connecticut
(12/14/2022)
RR
Florida
(10/24/2022)
RR
Massachusetts
(12/2/2022)
RR
New Hampshire
(12/14/2022)
RR
North Carolina
(12/6/2022)
RR
South Carolina
(12/16/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/1990
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

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

KOVACK SECURITIES INC.

CRD#: 44848Wareham, MA 02571

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