James 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.
James Obrien, who also goes by James Michael O'brien, James Michael Obrien, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 8 firms and has passed the Series 63, Series 7, Series 87 and Series 86 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2011 - June 28, 2012
CAPSTONE INVESTMENTS
April 30, 2010 - April 8, 2011
ARDOUR CAPITAL INVESTMENTS, LLC
April 6, 2006 - January 29, 2007
RYAN BECK & CO.
November 1, 2005 - March 28, 2006
BREAN CAPITAL, LLC
March 11, 2005 - March 14, 2006
BREAN MURRAY & CO., INC.
March 10, 2004 - September 13, 2004
STANDARD & POOR'S SECURITIES, INC.
August 30, 2001 - May 29, 2003
WELLS FARGO INVESTMENTS, LLC
January 10, 2001 - April 25, 2001
BANC OF AMERICA SECURITIES LLC
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
CAPSTONE INVESTMENTS
CRD#: 41400 / SEC#: , 8-49400
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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