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TO

Thomas J. Obrien

IEX SERVICES LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 2152577
TO

Professional summary

Thomas John Obrien is a registered financial professional currently at IEX SERVICES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Thomas John 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®
None

Experience

Current

September 17, 2013 - Present

IEX SERVICES LLC

Office #1: 3 World Trade Center 175 Greenwich Street 58th Floor, New York, NY, 10007Office #2: 3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007
BD
CRD#: 167872
New York, NY
Past

May 17, 2007 - June 4, 2013

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

February 1, 2006 - June 4, 2013

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
NEW YORK, NY
Past

June 8, 2004 - February 1, 2006

INET ATS, INC.

BD
CRD#: 20746
JERSEY CITY, NJ
Past

April 17, 1997 - June 28, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

April 29, 1994 - April 14, 1997

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

March 17, 1993 - April 8, 1994

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

August 12, 1991 - June 8, 1993

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
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
New York
(11/15/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/25/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/8/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/3/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/1995
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

IS
IEX SERVICES LLC
IEX SERVICES LLC

CRD#: 167872 / SEC#: , 8-69280

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

Main Address
3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007
Mailing Address
3 World Trade Ctr 175 Greenwich Street 58th Floor, New York, NY, 10007
Phone number
(646) 343-2000
Established
Delaware since 01/22/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
IEX GROUP, INC.DIRECT OWNER
KATSUYAMA, BRADLEY TOSHIOPRESIDENT/CEO4463961
ASARE, ALPHONSE KWESIFINOP/POO6140970
DUKESHERER, JACK ROBERTVP/CCO/AMLCO5671449
HARKINS, BRYAN MICHAELSVP4285099
RESNICK, CRAIGVP/CFO/TREASURER/PFO5718420
RYAN, RONAN GSVP5724098

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

IEX SERVICES LLC

CRD#: 167872New York, NY 10007

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