Erin 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.
Erin Michelle O'brien, who also goes by Erin Michelle O Brien, Erin Michelle Obrien, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 1999. Erin had worked at 5 firms and has passed the Series 66, Series 63, Series 3 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
November 14, 2005 - January 13, 2014
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
October 6, 2003 - November 7, 2005
CITIGROUP GLOBAL MARKETS INC.
August 19, 2003 - October 13, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 21, 2000 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
February 12, 1999 - June 6, 2000
TRIAD SECURITIES CORP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RENAISSANCE INSTITUTIONAL MANAGEMENT LLC
CRD#: 136113 / SEC#: , 8-66971
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
