Thomas F. 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.
Thomas Francis Obrien was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1968. Thomas had worked at 8 firms and has passed the Series 63, Series 15, PC 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
February 9, 2000 - October 31, 2012
OHANESIAN / LECOURS, INC.
December 3, 1999 - October 31, 2012
OHANESIAN / LECOURS, INC.
September 3, 1985 - December 8, 1999
A. G. EDWARDS & SONS, INC.
June 8, 1984 - October 11, 1985
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1982 - June 20, 1984
KIDDER, PEABODY & CO. INCORPORATED
September 30, 1980 - January 18, 1982
MORGAN STANLEY DW INC.
January 30, 1979 - May 11, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
September 23, 1975 - February 25, 1979
CITIGROUP GLOBAL MARKETS INC.
February 12, 1968 - October 20, 1973
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 10/24/1985
Foreign Currency Options ExaminationPC
Date: 9/3/1985
AMEX Put and Call ExamSeries 1
Date: 1/11/1968
Registered Representative ExaminationCurrent Firm
OHANESIAN / LECOURS, INC.
CRD#: 23757 / SEC#: 801-57016, 8-40729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECOURS, RONALD GERARD | VICE PRESIDENT, SECRETARY | 1109578 |
| OHANESIAN, RICHARD | PRESIDENT, TREASURER | 844545 |
| BACKES, CLIFFORD BURTON | SHAREHOLDER | 1295299 |
| HART, SANDRA LEE | VICE PRESIDENT | 1412984 |
| JARVIS, CLIFFORD WILLIAM JR | SHAREHOLDER | 1177496 |
| RIZZIO, KENNETH ANTHONY | SHAREHOLDER | 1173625 |
| NICHOLSON, WILLIAM JOHN | CHIEF COMPLIANCE OFFICER, REGISTERED OPTIONS PRINCIPAL, FINANCIAL OPERATIONS PRINCIPAL | 2632348 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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