Sean 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.
Sean M O'brien, who also goes by Sean M Obrien, was a registered financial advisor .
Sean is a previously registered financial advisor and started their career in finance in 1998. Sean had worked at 4 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - February 16, 2012
ANDOVER EQUITY INVESTMENT GROUP LLC
May 7, 2008 - May 21, 2009
SECURITIES AMERICA ADVISORS, INC.
May 3, 2008 - May 21, 2009
SECURITIES AMERICA, INC.
December 9, 1998 - May 20, 2008
CITIGROUP GLOBAL MARKETS 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
ANDOVER EQUITY INVESTMENT GROUP LLC
CRD#: 150414 / SEC#:
Contact information
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.
