Michael K. Obrien
Professional summary
Michael Kevin Obrien is a registered financial professional currently at AMERITAS INVESTMENT COMPANY, LLC located in Canton, Ohio.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1971. Michael has worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Kevin Obrien's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2004 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 3988 Miles Ave Nw, Canton, OH 44718April 6, 1999 - October 4, 2004
MUTUAL SERVICE CORPORATION
April 23, 1990 - March 31, 1999
CARILLON INVESTMENTS, INC.
April 28, 1987 - April 23, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 28, 1987 - April 23, 1990
EQUITABLE ADVISORS, LLC
September 16, 1977 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
August 23, 1976 - August 27, 1976
BACHE & CO INCORPORATED
April 8, 1971 - April 23, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/7/2007)
(9/30/2004)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/3/1971
Registered Representative ExaminationFINRA
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
Red Flags
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