Courtney M. Obrien

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CRD#: 2937547

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.

Courtney Meg Obrien, who also goes by Courtney Meg O'brien, Courtney Meg Sucher, was a registered financial professional .

Courtney is a previously registered financial professional and started their career in finance in 1997. Courtney had worked at 4 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Courtney Meg O'brien | Courtney Meg Sucher

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2004 - December 12, 2012

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

December 15, 2003 - December 12, 2012

PERSHING LLC

CRD#: 7560

KING OF PRUSSIA, PA

Past

January 15, 2003 - December 15, 2003

LOCKWOOD FINANCIAL SERVICES, INC.

CRD#: 40655

MALVERN, PA

Past

January 7, 2002 - December 31, 2002

EMAT SECURITIES, INC.

CRD#: 104261

MALVERN, PA

Past

October 1, 1997 - December 31, 2001

LOCKWOOD FINANCIAL SERVICES, INC.

CRD#: 40655

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BNY ADVISORS

CRD#: 106108 / SEC#: 801-52378

RIA

Registered Investment Advisory firm - (7/15/1996 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/17/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/14/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/30/1997

General Securities Representative Examination

Current Firm

BNY ADVISORS

CRD#: 106108 / SEC#: 801-52378

RIA

Registered Investment Advisory firm - (7/15/1996 Approved)

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Contact information

Main Address

1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534

Mailing Address

Phone number

800-200-3033, OPTION 3

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BNY MELLON ADVISORS, INC. MANAGED360 PROGRAM WRAP FEE PROGRAM BROCHURE (3/31/2025)

BNY MELLON ADVISORS, INC. FIRM BROCHURE - INTERMEDIARY SOLUTIONS (3/31/2025)

BNY MELLON ADVISORS, INC. FIRM BROCHURE - INSTITUTIONAL & HIGH NET WORTH CLIENT SOLUTIONS (3/31/2025)

Regulatory assets under management

Total Number of Accounts	122,578
AUM (Assets Under Management)	$ 23,959,697,127

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/28/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Courtney M. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PERSHING LLC

LOCKWOOD FINANCIAL SERVICES, INC.

EMAT SECURITIES, INC.

LOCKWOOD FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BNY ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 6/17/1998

Series 65

Date: 4/14/1998

Series 7

Date: 9/30/1997

Current Firm

BNY ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BNY ADVISORS

TRUST BUT VERIFY

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