John 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.
John Michael O Brien, who also goes by John O'brien, John Michael Obrien, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2016 - March 1, 2019
HARVEST INVESTMENT SERVICES, LLC
November 2, 2012 - August 24, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 30, 2004 - August 24, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 24, 1995 - May 6, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
HARVEST INVESTMENT SERVICES, LLC
CRD#: 159390 / SEC#: 801-79232
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
HARVEST INVESTMENT SERVICES, LLC
CRD#: 159390 / SEC#: 801-79232
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,335 |
| AUM (Assets Under Management) | $ 534,204,368 |
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.
