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Michael S. Obrien

Some features on this profile are disabled
CRD#: 350499
MO

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.

Michael Smyth Obrien was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 8 firms and has passed the Series 63, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 2, 1991 - October 1, 2012

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY
Past

November 28, 1990 - April 17, 1991

BALFOUR INVESTORS INC.

BD
CRD#: 7382
NEW YORK, NY
Past

July 24, 1986 - September 28, 1990

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

June 29, 1978 - July 22, 1986

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

November 3, 1977 - July 16, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

May 31, 1977 - October 21, 1977

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
Past

August 27, 1975 - July 24, 1977

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

June 14, 1971 - August 12, 1975

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

February 26, 1969 - July 7, 1971

LOEB RHOADES & COMPANY

BD
CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 10/17/1981
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 7/31/1964
Registered Representative Examination

Current Firm

OG
OSCAR GRUSS & SON INCORPORATED
CHURCHILL CAPITAL NY | OSCAR GRUSS & SON, INCORPORATED | OSCAR GRUSS & SON INCORPORATED | MAKOR OG NY

CRD#: 2091 / SEC#: , 8-22371

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
10 East 53rd Street 17th Floor, New York, NY 10022
Mailing Address
10 East 53rd Street 17th Floor, New York, NY 10022
Phone number
(212) 419-4000
Established
New York since 10/03/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAKOR PARTNERS LIMITEDSHAREHOLDER
ANREDER, LAURA ELLENCHIEF EXECUTIVE OFFICER1325698
LANDAU, DANIELLECHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER / FINOP4671417

Disclosures

Regulatory Event26
Arbitration5
Judgment/Lien13

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.

Company Information

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

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