Neil F. 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.
Neil Francis O'brien, who also goes by Neil F Obrien, Neil Francis Obrien, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1986. Neil had worked at 3 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2012 - September 25, 2014
BTS SECURITIES CORPORATION
January 18, 1988 - December 31, 2009
LINCOLN INVESTMENT
June 12, 1986 - January 22, 1988
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/18/1974
Registered Representative ExaminationCurrent Firm
BTS SECURITIES CORPORATION
CRD#: 8328 / SEC#: , 8-26818
Contact information
FINRA licenses (18 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
