Gregory S. Obrien
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.
Gregory Spencer Obrien, who also goes by Gregory Spencer O'brien, Gregory S Obrien, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2000. Gregory had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
August 21, 2018 - March 22, 2024
PHX FINANCIAL, INC.
November 14, 2013 - September 4, 2018
AEGIS CAPITAL CORP.
August 25, 2005 - November 12, 2013
AMERICA'S CHOICE EQUITIES LLC
May 13, 2002 - July 30, 2005
GUNNALLEN FINANCIAL, INC
July 4, 2001 - April 26, 2002
MILESTONE FINANCIAL SERVICES, INC.
May 21, 2001 - July 10, 2001
GILFORD SECURITIES INCORPORATED
May 24, 2000 - June 11, 2001
SEABOARD SECURITIES, 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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
