SO
Sean T. O'brien
FEF DISTRIBUTORS
Sausalito, CA
Some features on this profile are disabled
CRD#: 4338565
SO
Professional summary
Sean Thomas O'brien, who also goes by Sean Thomas O Brien, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in Sausalito, California.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2001. Sean has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sean Thomas O Brien
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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Thomas O'brien's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 3, 2015 - Present
FEF DISTRIBUTORS, LLC
BD
CRD#: 46585
Sausalito, CA
Past
October 23, 2007 - November 18, 2015
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
April 10, 2006 - October 2, 2007
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
October 9, 2002 - April 3, 2006
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
June 19, 2001 - May 20, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 25, 2001 - May 14, 2001
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/3/2015)
RR
Alaska(12/3/2015)
RR
Arizona(12/3/2015)
RR
Arkansas(12/3/2015)
RR
California(12/3/2015)
RR
Colorado(12/3/2015)
RR
Connecticut(12/3/2015)
RR
Delaware(12/3/2015)
RR
District of Columbia(12/3/2015)
RR
Florida(12/3/2015)
RR
Georgia(12/3/2015)
RR
Hawaii(12/3/2015)
RR
Idaho(12/3/2015)
RR
Illinois(12/3/2015)
RR
Indiana(12/3/2015)
RR
Iowa(12/3/2015)
RR
Kansas(12/3/2015)
RR
Kentucky(12/3/2015)
RR
Louisiana(12/3/2015)
RR
Maine(12/3/2015)
RR
Maryland(12/3/2015)
RR
Massachusetts(12/3/2015)
RR
Michigan(12/3/2015)
RR
Minnesota(12/3/2015)
RR
Mississippi(12/3/2015)
RR
Missouri(12/3/2015)
RR
Montana(12/3/2015)
RR
Nebraska(12/3/2015)
RR
Nevada(12/3/2015)
RR
New Hampshire(12/3/2015)
RR
New Jersey(12/3/2015)
RR
New Mexico(12/3/2015)
RR
New York(12/3/2015)
RR
North Carolina(12/9/2015)
RR
North Dakota(12/3/2015)
RR
Ohio(12/4/2015)
RR
Oklahoma(12/3/2015)
RR
Oregon(12/3/2015)
RR
Pennsylvania(12/3/2015)
RR
Puerto Rico(12/3/2015)
RR
Rhode Island(12/3/2015)
RR
South Carolina(12/3/2015)
RR
South Dakota(12/3/2015)
RR
Tennessee(12/3/2015)
RR
Texas(12/3/2015)
RR
Utah(12/3/2015)
RR
Vermont(12/3/2015)
RR
Virginia(12/3/2015)
RR
Washington(12/3/2015)
RR
West Virginia(12/3/2015)
RR
Wisconsin(12/3/2015)
RR
Wyoming(12/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
