John M. 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.
John Michael O'brien IV, who also goes by John Michael Obrien IV, John Michael Iv Obrien, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2016 - February 16, 2018
LICCAR SECURITIES, LLC
November 24, 2014 - June 14, 2016
BPV CAPITAL MANAGEMENT, LLC
September 22, 2014 - September 18, 2015
FORESIDE FUND SERVICES, LLC
February 24, 2013 - September 19, 2014
ALPS DISTRIBUTORS, INC.
October 15, 2009 - March 24, 2011
TD PRIME SERVICES LLC
September 8, 2008 - September 24, 2009
MERIDIAN EQUITY PARTNERS, INC.
February 2, 2007 - August 31, 2007
ACCESS SECURITIES, LLC
November 11, 1991 - April 21, 1994
ROBERT W. BAIRD & CO. INCORPORATED
November 11, 1991 - April 21, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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: 2/13/2007
Limited Representative-Equity Trader ExamCurrent Firm
LICCAR SECURITIES, LLC
CRD#: 151034 / SEC#: , 8-68329
Contact information
Documents
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.
