Kevin M. O'brien
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.
Kevin Michael O'brien, who also goes by Kevin Michael O'brien, Kevin Michael Obrien, Kevin Obrien, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1995. Kevin had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2025 - August 4, 2025
NATWEST MARKETS SECURITIES INC.
January 4, 2022 - March 6, 2023
B. RILEY SECURITIES, INC.
September 6, 2019 - January 19, 2022
IMPERIAL CAPITAL, LLC
February 29, 2016 - September 19, 2018
JEFFERIES LLC
October 8, 2009 - May 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
September 7, 2009 - May 3, 2013
JEFFERIES LLC
July 18, 2000 - June 18, 2004
UBS SECURITIES LLC
September 20, 1999 - May 2, 2003
CHANIN CAPITAL LLC
June 1, 1995 - November 4, 1997
CIBC WORLD MARKETS CORP.
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
Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
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.
