Shane A. O'brien
Professional summary
Shane Allen O'brien, who also goes by Shane A O Brien, Shane A O'brien, Shane O'brien, Shane A Obrien, Shane Allen Obrien, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Plano, Texas.
Shane is registered as a RR (Registered Representative) and started their career in finance in 1997. Shane has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 7, Series 24, Series 51 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shane Allen O'brien's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2026 - Present
VANGUARD MARKETING CORPORATION
Office #1: 7900 Windrose Ave, Plano, TX 75024December 2, 2024 - April 17, 2025
PEAK AMERICAN INVESTMENT ADVISORS, INC.
September 18, 2024 - September 24, 2024
ALLWORTH FINANCIAL, L.P.
September 18, 2024 - September 24, 2024
AW SECURITIES
October 21, 2021 - May 15, 2024
ALLWORTH FINANCIAL, L.P.
July 5, 2007 - April 6, 2020
FIDELITY DISTRIBUTORS COMPANY LLC
September 26, 2006 - March 7, 2007
RAA WEALTH MANAGEMENT, LLC
September 18, 1998 - October 2, 2006
RETIREMENT ADVISORS OF AMERICA
February 18, 1997 - August 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 7TO
Date: 4/10/2024
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| KADJESKI, ANDREW MICHAEL | CHAIRMAN, PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
Red Flags
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Company Information
VANGUARD MARKETING CORPORATION
CRD#: 7452Plano, TX 75024TRUST BUT VERIFY
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