CO
Christopher M. Obrien
CITIZENS SECURITIES
Orleans, MA 02653
Some features on this profile are disabled
CRD#: 5272563
CO
Professional summary
Christopher Michael Obrien, who also goes by Christopher M O'brien, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Orleans, Massachusetts.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher M 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.
1) Rotary Club of Bourne-Sandwich - Treasurer; responsible for bookkeeping. 20 hours/month; Start date: 07/2022 2) Blue Shutters Condominium Association - President - Non Profit -8 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Obrien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Michael 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®
NoneExperience
Current
May 13, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 20 Rt 6a Ste A Mail Stop: Ma-284, Orleans, MA 02653Office #2: 111a Route 137 Mailstop: Ma285, Harwich, MA 02645-2153Office #3: 1116 Main Route 28 Ms: Ma649, So Yarmouth, MA 02664RIA
BD
CRD#: 39550
Orleans, MA
Current
May 8, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 20 Rt 6a Ste A Mail Stop: Ma-284, Orleans, MA 02653Office #2: 111a Route 137 Mailstop: Ma285, Harwich, MA 02645-2153Office #3: 1116 Main Route 28 Ms: Ma649, So Yarmouth, MA 02664RIA
BD
CRD#: 39550
Orleans, MA
Past
July 12, 2016 - May 6, 2019
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
HYANNIS, MA
Past
March 21, 2016 - May 6, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HYANNIS, MA
Past
December 23, 2013 - September 5, 2014
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
HYANNIS, MA
Past
December 18, 2013 - September 5, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
HYANNIS, MA
Past
November 6, 2013 - December 10, 2013
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
HYANNIS, MA
Past
December 20, 2011 - December 10, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HYANNIS, MA
Past
January 1, 2008 - June 10, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FALMOUTH, MA
Past
July 31, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
FALMOUTH, MA
Past
March 26, 2007 - April 10, 2007
EDWARD JONES
RIA
CRD#: 250
ST. LOUIS, MO
Past
February 22, 2007 - April 10, 2007
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
District of Columbia(8/22/2022)
IAR
District of Columbia(8/29/2022)
RR
Florida(5/8/2019)
IAR
Florida(5/13/2019)
RR
Maine(9/12/2022)
IAR
Maine(9/13/2022)
RR
Massachusetts(5/8/2019)
RR
New Hampshire(10/6/2025)
IAR
New Hampshire(10/8/2025)
RR
Rhode Island(5/8/2019)
IAR
Rhode Island(5/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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
CITIZENS SECURITIES, INC.
CRD#: 39550Orleans, MA 02653TRUST BUT VERIFY
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