Richard Obrien

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CRD#: 350522

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.

Richard Obrien was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 4 firms and has passed the Series 63, Series 3, Series 4, Series 10, Series 9 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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

June 24, 1988 - July 11, 2013

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

CRD#: 319

HUNT VALLEY, MD

Past

January 31, 1980 - June 28, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 20, 1977 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

March 2, 1968 - October 9, 1975

BAKER, WATTS & CO., INC.

CRD#: 68

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

CRD#: 319 / SEC#: 801-67696, 8-3335

RIA

Registered Investment Advisory firm - SEC (4/24/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/25/1985

National Commodity Futures Examination

Principal/Supervisory Exam

Series 4

Date: 2/5/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/27/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/20/2004

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 40

Date: 2/28/1968

Registered Principal Examination

Current Firm

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC. | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

CRD#: 319 / SEC#: 801-67696, 8-3335

RIA

Registered Investment Advisory firm - SEC (4/24/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

725 15th Street N.w. 2nd Floor, Suite 200, Washington, DC 20005-2109

Mailing Address

725 15th Street N.w., Washington, DC 20005-2109

Phone number

(202) 783-5252

Established

Delaware since 11/27/1931

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED WRAP FEE BROCHURE MARCH 27, 2025 (3/27/2025)

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED PRIVATE WEALTH MANAGEMENT BROCHURE MARCH 27, 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
FOLGER ASSOCIATES LLC	OWNER
FOLGER 2020 TRUST FOR NEIL C. FOLGER	OWNER
FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER	OWNER
CURRENT, JOHN RANDALL	DIRECTOR, EXECUTIVE VICE-PRESIDENT	2020187
FOLGER, LEE MERRITT	DIRECTOR, SENIOR ADVISOR	210685
FOLGER, NEIL CLIFFORD	DIRECTOR, CHAIRMAN OF THE BOARD	2813165
FOLGER, NEIL CLIFFORD	TRUSTEE, FOLGER 2020 TRUST FOR NEIL C. FOLGER, FOLGER 2020 TRUST FOR NICHOLAS FRY FOLGER, JOHN D. FOLGER SECTION 9 TRUST	2813165
FOSTER, RICHARD STEVEN	CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER / CHIEF EXECUTIVE OFFICER / PRESIDENT, ROSFP	1655391
FOSTER, RICHARD STEVEN	CCO	1655391
FOSTER, RICHARD STEVEN	COO	1655391

Regulatory assets under management

Total Number of Accounts	471
AUM (Assets Under Management)	$ 857,718,871

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Richard Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

BAKER, WATTS & CO., INC.

Primary Firm SEC Registration

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1985

Series 3

Date: 4/25/1985

Series 4

Date: 2/5/2004

Series 10

Date: 1/27/2004

Series 9

Date: 1/20/2004

Series 40

Date: 2/28/1968

Current Firm

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

FOLGER NOLAN FLEMING DOUGLAS INCORPORATED

TRUST BUT VERIFY

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