Robert E. Obrien

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CRD#: 2181387

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.

Robert Edmund Obrien, who also goes by Robert Edmund O'brien, Robert Edmond Obrien, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Edmund O'brien | Robert Edmond 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 18, 2017 - June 1, 2022

RENAISSANCE MACRO SECURITIES, LLC

CRD#: 163927

DARIEN, CT

Past

June 5, 2015 - October 7, 2016

CLSA AMERICAS, LLC

CRD#: 165533

SAN FRANCISCO, CA

Past

December 8, 2011 - May 19, 2015

WEDBUSH SECURITIES INC.

CRD#: 877

SAN FRANCISCO, CA

Past

June 22, 2009 - November 19, 2010

COWEN EXECUTION SERVICES LLC

CRD#: 35693

SAN FRANCISCO, CA

Past

June 1, 2004 - April 3, 2009

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

March 31, 2003 - May 18, 2004

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

May 11, 1999 - April 1, 2003

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

July 3, 1997 - April 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 7, 1992 - June 26, 1997

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/15/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/6/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/2/2009

General Securities Principal Examination

Current Firm

RENAISSANCE MACRO SECURITIES, LLC

CRD#: 163927 / SEC#: , 8-69079

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

9 Old King's Highway S 3rd Fl, Darien, CT 06820

Mailing Address

9 Old King's Highway S 3rd Fl, Darien, CT 06820

Phone number

(212) 537-8811

Established

Delaware since 07/26/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RENAISSANCE MACRO HOLDINGS, LLC	MEMBER
DEGRAAF, JEFFREY SCOTT	EXECUTIVE MANAGING DIRECTOR	2202699
DEGRAAF, JEFFREY SCOTT	CHIEF COMPLIANCE OFFICER	2202699
DUTTENHOFER, STEPHEN MATTHEW	GENERAL SECURITIES PRINCIPAL	2517485
VEGA, DOREEN LEMA	FINOP/ PFO /POO	5364084

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.

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Firm Stability Insights

Robert E. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLSA AMERICAS, LLC

WEDBUSH SECURITIES INC.

COWEN EXECUTION SERVICES LLC

THOMAS WEISEL PARTNERS LLC

COWEN AND COMPANY

THOMAS WEISEL PARTNERS LLC

PRUDENTIAL EQUITY GROUP, LLC

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/1992

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/15/2000

Series 7

Date: 1/6/1992

Series 24

Date: 7/2/2009

Current Firm

RENAISSANCE MACRO SECURITIES, LLC

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RENAISSANCE MACRO SECURITIES, LLC

TRUST BUT VERIFY

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