Charles J. Obrien
Professional summary
Charles Joseph Obrien JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Charles had worked at 4 firms, which includes WORLDCO L.L.C., RUMSON CAPITAL LLC, CREDIT SUISSE SECURITIES (USA) LLC, ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2001 - May 31, 2001
WORLDCO, L.L.C.
November 30, 2000 - April 6, 2001
RUMSON CAPITAL, LLC
July 13, 1993 - October 20, 2000
CREDIT SUISSE SECURITIES (USA) LLC
November 25, 1992 - March 31, 1993
ROYCE INVESTMENT GROUP, 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
Series 55
Date: 4/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
WORLDCO, L.L.C.
CRD#: 24673 / SEC#: , 8-41285
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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