Matthew P. 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.
Matthew Patrick O'brien, who also goes by Matthew Patrick Obrien, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 31 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
July 8, 2016 - April 11, 2017
SEI INVESTMENTS DISTRIBUTION CO.
February 19, 2014 - April 20, 2015
PERSHING LLC
September 21, 2007 - April 2, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 31, 2007 - April 2, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 23, 2002 - January 3, 2003
NEW ENGLAND SECURITIES
September 2, 1999 - January 3, 2003
NEW ENGLAND SECURITIES
March 9, 1999 - August 25, 1999
FIRST UNION BROKERAGE SERVICES, INC.
April 3, 1998 - January 6, 1999
LOCKWOOD FINANCIAL SERVICES, INC.
August 20, 1997 - February 4, 1998
MORGAN STANLEY DW INC.
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
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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