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SO

Scott G. Obrien

LIQUIDNET
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 4906030
SO

Professional summary

Scott G Obrien, who also goes by Scott G Obrien, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2021. Scott has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scott G Obrien

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) - BD

Click below to view Scott G Obrien'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®
None

Experience

Current

April 10, 2023 - Present

LIQUIDNET, INC.

Office #1: 200 Vesey Street 5th Floor, New York, NY 10281
BD
CRD#: 103987
NEW YORK, NY
Past

October 4, 2021 - April 26, 2023

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
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
New York
(4/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/8/2021
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/4/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/15/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LI
LIQUIDNET, INC.
LIQUIDNET, INC.

CRD#: 103987 / SEC#: , 8-52461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
200 Vesey Street 5th Floor, New York, NY 10281
Mailing Address
200 Vesey Street 5th Floor, New York, NY 10281
Phone number
(212) 208-7061
Established
Delaware since 01/12/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICAP GLOBAL BROKING INCSOLEMEMBER
BOND, ROBERTCEO/DIRECTOR4121948
HALLIGAN, BRIAN JCHIEF COMPLIANCE OFFICER5016364
PEZEU, CHRISTIAN JEAN MICHELCHIEF FINANCIAL OFFICER5661987

Disclosures

Regulatory Event10

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

LIQUIDNET, INC.

CRD#: 103987New York, NY 10281

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