John G. 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.
John Gartland Obrien, CFP®, who also goes by John O'brien, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2010 - August 12, 2021
PRAIRIE CAPITAL MANAGEMENT, LLC
August 9, 2010 - January 30, 2019
UMB FINANCIAL SERVICES, INC.
January 2, 2008 - July 30, 2010
PRAIRIE CAPITAL MANAGEMENT LLC
July 6, 2007 - April 30, 2008
PRAIRIE CAPITAL MANAGEMENT INC
March 14, 2002 - July 30, 2010
GEORGE K. BAUM & COMPANY
October 9, 2000 - December 21, 2001
PRAIRIE BROKERAGE SERVICES LLC
February 3, 1997 - February 4, 2002
GEORGE K. BAUM & COMPANY
May 21, 1987 - February 28, 1997
CREDIT SUISSE SECURITIES (USA) LLC
September 9, 1969 - June 3, 1987
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 1/29/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/13/1982
Interest Rate Options ExaminationPC
Date: 7/27/1977
AMEX Put and Call ExamSeries 1
Date: 9/5/1969
Registered Representative ExaminationSeries 8
Date: 1/26/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRAIRIE CAPITAL MANAGEMENT, LLC
CRD#: 153588 / SEC#: 801-71609
Contact information
Red Flags
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