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Bart F. O'brien

Some features on this profile are disabled
CRD#: 5068633
BO

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.

Bart Frederick O'brien was a registered financial professional .

Bart is a previously registered financial professional and started their career in finance in 2006. Bart had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

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

September 11, 2013 - May 1, 2014

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
DENVER, CO
Past

September 11, 2013 - May 1, 2014

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
DENVER, CO
Past

June 25, 2010 - September 9, 2013

HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC

RIA
CRD#: 149564
EDMOND, OK
Past

October 6, 2009 - September 3, 2013

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
EDMOND, OK
Past

March 30, 2007 - October 2, 2009

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
OKLAHOMA CITY, OK
Past

March 28, 2007 - October 2, 2009

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
OKLAHOMA CITY, OK
Past

June 19, 2006 - March 22, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSON, TN
Past

March 28, 2006 - March 22, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSON, TN
Past

January 16, 2006 - March 21, 2006

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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: 6/16/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/19/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2006
General Securities Representative Examination

Current Firm

IC
INVESTORS CAPITAL CORP.
INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054

BD
Terminated by SEC on 01/17/2017
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Contact information

Main Address
6 Kimball Lane, Lynnfield, MA 01940
Mailing Address
Phone number
Established
Massachusetts since 07/06/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)
TOWER SQUARE INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event22
Arbitration11

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

INVESTORS CAPITAL CORP.

CRD#: 30613

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