Timothy D. Obrien
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.
Timothy Devin Obrien, who also goes by Timothy D Obrien, Timothy Obrien, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 3, 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
August 18, 2008 - January 14, 2019
BTIG, LLC
March 7, 2007 - June 17, 2008
J.P. MORGAN SECURITIES LLC
September 1, 2000 - March 8, 2007
LEHMAN BROTHERS INC.
November 28, 1997 - September 14, 2000
CITIGROUP GLOBAL MARKETS INC.
July 31, 1996 - September 1, 1998
SALOMON BROTHERS INC.
January 1, 1996 - May 4, 1998
BARCLAYS CAPITAL INC.
December 13, 1994 - January 1, 1996
BARCLAYS DE ZOETE WEDD INCORPORATED
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: 9/16/2004
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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