Richard J. 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.
Richard John O'brien, who also goes by Richard J O'brien, Richard O'brien, Richard J Obrien, Richard John Obrien, Richard Obrien, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 14 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
November 24, 2020 - January 10, 2022
DIGITAL BROKERAGE SERVICES LLC
January 16, 2020 - January 10, 2022
FIDELITY DISTRIBUTORS COMPANY LLC
December 26, 2014 - September 3, 2015
LEVEL MARKETS, LLC
February 23, 2009 - December 2, 2010
FIDELITY DISTRIBUTORS CORPORATION
February 23, 2009 - February 18, 2011
FIDELITY DISTRIBUTORS COMPANY LLC
December 19, 2006 - January 10, 2022
FIDELITY BROKERAGE SERVICES LLC
November 29, 2001 - January 10, 2022
NATIONAL FINANCIAL SERVICES LLC
February 29, 1996 - November 29, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
DIGITAL BROKERAGE SERVICES LLC
CRD#: 308213 / SEC#: , 8-70512
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| CULLARO, GIUSEPPE | PRESIDENT, CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 4738727 |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| O'BRIEN, EDWARD DANIEL | DIRECTOR | 2239064 |
| RHODES, NOAH BUTLER | PRINCIPAL FINANCIAL OFFICER | 6546392 |
| WEAVER, BRYAN ROBERT | CHIEF LEGAL OFFICER | 2933941 |
Red Flags
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