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William J. Obrien

Some features on this profile are disabled
CRD#: 350577
WO

Professional summary

William James Obrien was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, William had worked at 10 firms, which includes FIRST GLOBAL SECURITIES INC., AMERICAN INVESTMENT SERVICES INC., FINANCIAL WEST GROUP, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., SHEARSON HAYDEN STONE INC., FLOOD & CO. INC., D. H. BLAIR & COMPANY, EXECUTIVE TRADING CORP, BUTTONWOOD SECURITIES INC..

top-8-questions

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 22, 1999 - March 15, 2000

FIRST GLOBAL SECURITIES, INC.

BD
CRD#: 28612
PASADENA, CA
Past

May 3, 1995 - July 21, 1998

AMERICAN INVESTMENT SERVICES, INC.

BD
CRD#: 21111
OKLAHOMA CITY, OK
Past

October 18, 1994 - May 4, 1995

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

May 25, 1984 - June 22, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 26, 1979 - June 6, 1984

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

March 12, 1976 - August 8, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

August 7, 1973 - April 1, 1977

FLOOD & CO., INC.

BD
CRD#: 5804
Past

August 22, 1972 - December 4, 1972

D. H. BLAIR & COMPANY

BD
CRD#: 200
Past

June 14, 1971 - January 6, 1972

EXECUTIVE TRADING CORP

BD
CRD#: 1000003
Past

April 15, 1970 - July 7, 1971

BUTTONWOOD SECURITIES, INC.

BD
CRD#: 121

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: 2/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1979
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/8/1962
Registered Representative Examination

Current Firm

FG
FIRST GLOBAL SECURITIES, INC.
FIRST GLOBAL SECURITIES OF PASADENA, INC. | FIRST GLOBAL SECURITIES, INC.

CRD#: 28612 / SEC#: , 8-43933

BD
Terminated by SEC on 08/08/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 03/08/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRENHAM, NOBLE BRADFORDCEO449157
DARGAN, CHARLES KENT IIFINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER1060527

Disclosures

Regulatory Event3
Arbitration1

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

FIRST GLOBAL SECURITIES, INC.

CRD#: 28612

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