Robert C. Obrien
Professional summary
Robert Collins Obrien Jr., who also goes by Robert Collins Obrien Jr, Robert Collins Obrien, is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Collins Obrien Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2021 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416June 17, 2013 - November 13, 2020
AST INVESTMENT SERVICES, INC.
June 11, 2013 - December 21, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 1, 2013 - May 31, 2013
WBI INVESTMENTS, LLC
August 7, 2012 - May 31, 2013
QUASAR DISTRIBUTORS, LLC
November 15, 2010 - May 11, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 9, 2009 - November 2, 2010
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 1, 2000 - March 10, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
November 4, 1999 - February 28, 2000
ATHENE SECURITIES, LLC
July 31, 1998 - September 8, 1999
NATIXIS DISTRIBUTION, LLC
April 3, 1995 - July 9, 1998
KEYPORT FINANCIAL SERVICES CORP.
March 30, 1994 - March 9, 1995
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
(1/14/2021)
(1/14/2021)
(7/22/2022)
Exams
FINRA
Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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