Rebecca L. O'brien
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.
Rebecca Lynn O'brien, who also goes by Becky O'brien, Rebecca Lynn Shanahan, Rebecca Lynn Shanahan, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2011. Rebecca had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - April 18, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 2, 2019 - April 18, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 11, 2014 - November 19, 2018
PNC CAPITAL ADVISORS LLC
November 19, 2014 - November 19, 2018
FORESIDE DISTRIBUTION SOLUTIONS, LLC
December 12, 2011 - November 11, 2014
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
December 9, 2011 - November 11, 2014
FEDERATED SECURITIES CORP.
December 9, 2011 - November 11, 2014
FEDERATED INVESTMENT COUNSELING
October 25, 2011 - November 11, 2014
FEDERATED SECURITIES CORP.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
