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TO

Thomas M. Obrien

FOUR POINTS CAPITAL PARTNERS LLC
New York, NY 10016
Some features on this profile are disabled
CRD#: 2428109
TO

Professional summary

Thomas Michael Obrien is a registered financial professional currently at FOUR POINTS CAPITAL PARTNERS LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 13 firms and has passed the Series 63, SIE and Series 7 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 Michael Obrien's CRS (Customer Relationship Summary).
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

March 23, 2018 - Present

FOUR POINTS CAPITAL PARTNERS LLC

Office #1: 99 Park Avenue Suite 810, New York, NY 10016
BD
CRD#: 43149
New York, NY
Past

March 25, 2017 - March 19, 2018

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEW YORK, NY
Past

April 1, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEW YORK, NY
Past

May 11, 2015 - February 10, 2016

HALEN CAPITAL

BD
CRD#: 135966
New York, NY
Past

October 14, 2013 - May 13, 2015

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEW YORK, NY
Past

May 9, 2012 - September 17, 2013

DELANEY EQUITY GROUP LLC

BD
CRD#: 142285
WEST PALM BEACH, FL
Past

September 7, 2010 - June 17, 2014

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
CORAL SPRINGS, FL
Past

April 22, 2005 - September 8, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

September 1, 2000 - May 2, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 30, 1998 - September 15, 2000

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

March 5, 1996 - February 3, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 28, 1995 - March 4, 1996

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 28, 1994 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
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
Arizona
(3/23/2018)
RR
Colorado
(2/24/2020)
RR
New Jersey
(3/23/2018)
RR
New York
(3/23/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/25/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FP
FOUR POINTS CAPITAL PARTNERS LLC
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

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

Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Phone number
(212) 257-5240
Established
Texas since 07/23/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
5M HOLDINGS LLCMANAGING MEMBER
GRAY, JOHN CLARKECHIEF FINANCIAL OPERATIONS OFFICER / CFO1367440
MARTINO, MICHAEL CHRISTOPHERCHIEF EXECUTIVE OFFICER2579146
MURPHY, GENE RYANCHIEF OPERATIONS OFFICER4739772
TOOKE, JEFFREY ACHIEF COMPLIANCE OFFICER, AMLCO5621579

Disclosures

Regulatory Event1

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

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149New York, NY 10016

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