James L. Obrien

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CRD#: 500466

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.

James Lawrence Obrien was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1976. James had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 31, Series 7 and Series 53 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 3, 2015 - October 13, 2015

FULCRUM SECURITIES, LLC

CRD#: 140084

SAINT LOUIS, MO

Past

September 18, 2006 - November 29, 2021

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

March 1, 2006 - July 31, 2006

SKYEBANC, INC.

CRD#: 44164

SHREWSBURY, NJ

Past

February 2, 2006 - August 14, 2006

REGAL SECURITIES, INC.

CRD#: 7297

GLENVIEW, IL

Past

December 3, 2002 - September 27, 2004

WHITAKER SECURITIES LLC

CRD#: 121465

NEW YORK, NY

Past

March 28, 2000 - January 11, 2002

BURLINGTON CAPITAL MARKETS INC.

CRD#: 26991

NEW YORK, NY

Past

November 24, 1998 - January 5, 1999

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

May 7, 1996 - January 30, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 10, 1984 - December 31, 1995

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

May 26, 1983 - April 30, 1984

PERSHING LLC

CRD#: 7560

Past

September 23, 1980 - August 1, 1983

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 2, 1976 - September 15, 1980

FIRST PENNCO SECURITIES, INC.

CRD#: 7198

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

IAR

Series 65

Date: 8/27/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/5/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/20/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/6/2000

Municipal Securities Principal Examination

Current Firm

FULCRUM SECURITIES, LLC

FULCRUM SECURITIES, INC. | OFK SECURITIES, INC. | FULCRUM SECURITIES, LLC

CRD#: 140084 / SEC#: , 8-67274

Terminated by SEC on 12/26/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Virginia since 05/04/2004

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AHM-PIVOT HOLDINGS LLC	DIRECT OWNER
BARTOW CREEK PARTNERS, LLC	DIRECT OWNER
BEATON, DANIEL STEWART	FINOP	4240769
BEHRENS, WILLIAM PAUL	PRESIDENT & CEO	16999
LYONS, CYNTHIA DAWN	CHIEF COMPLIANCE OFFICER, EXEC. REP, ROSFP, SECRETARY	1722606

Disclosures

Regulatory Event	3
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

James L. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

SKYEBANC, INC.

REGAL SECURITIES, INC.

WHITAKER SECURITIES LLC

BURLINGTON CAPITAL MARKETS INC.

NORTHEAST SECURITIES, LLC

MORGAN STANLEY DW INC.

LAZARD FRERES & CO. LLC

PERSHING LLC

LEHMAN BROTHERS INC.

FIRST PENNCO SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/1996

Series 63

Date: 6/7/1996

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 6/5/1996

Series 7

Date: 6/20/1981

Series 53

Date: 4/6/2000

Current Firm

FULCRUM SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FULCRUM SECURITIES, LLC

TRUST BUT VERIFY

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