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EO

Elisabeth A. Obrien

COMMERCE BROKERAGE SERVICES
St. Louis, MO 63105
Some features on this profile are disabled
CRD#: 6324242
EO

Professional summary

Elisabeth Anne Obrien, who also goes by Elisabeth Anne Obrien, is a registered financial professional currently at COMMERCE BROKERAGE SERVICES, INC. located in St. Louis, Missouri.

Elisabeth is registered as a RR (Registered Representative) and started their career in finance in 2020. Elisabeth has worked at 3 firms and has passed the Series 66, Series 7TO, SIE, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elisabeth Anne 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.
MISSOURI CPA LICENSE; NOT INV. RELATED; JEFFERSON CITY,MO; START DATE 10/23/2012; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; CE ONLY - INACTIVE STATUS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elisabeth Anne Obrien's CRS (Customer Relationship Summary).
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

May 1, 2025 - Present

COMMERCE BROKERAGE SERVICES, INC.

Office #1: 8000 Forsythe Blvd. Suite 1200, St. Louis, MO 63105
BD
CRD#: 17140
St. Louis, MO
Past

November 8, 2023 - July 12, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
Ballwin, MO
Past

November 8, 2023 - July 12, 2024

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

March 15, 2021 - July 12, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
Ballwin, MO
Past

October 1, 2020 - July 12, 2024

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
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
RR
IAR
Series 66
Date: 3/13/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/30/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/25/2021
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/17/2020
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

CB
COMMERCE BROKERAGE SERVICES, INC.
COMMERCE BROKERAGE SERVICES, INC | COMMERCE FINANCIAL ADVISORS | COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140 / SEC#: 801-66509, 8-35096

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8000 Forsyth Blvd Suite 1200 East, Clayton, MO 63105-1707
Mailing Address
8000 Forsyth Blvd Suite 1200, Clayton, MO 63105-1707
Phone number
(314) 746-8593
Established
Missouri since 10/04/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-APPENDIX 1-WRAP BROCHURE (6/22/2023)

Direct owners and executive officers

NamePositionCRD#
COMMERCE BANKSOLE STOCKHOLDER
CHMELKA, JOHN EMILPRINCIPAL OPERATIONS OFFICER2052962
HARMON, THOMAS DARINPRESIDENT/CHIEF EXECUTIVE OFFICER7787415
MOWER, MATHEW ROBERTSENIOR VICE PRESIDENT3176197
REECE, JOSEPH STEVENVICE PRESIDENT/CHIEF COMPLIANCE OFFICER2227282
ROWE, MARGARETCORPORATE SECRETARY7576973
SIMPSON, TIFFANY LYNNTREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER6685507
SWANSON, ERIK ANDREWEXECUTIVE VICE PRESIDENT4170204

Regulatory assets under management

Total Number of Accounts3,570
AUM (Assets Under Management)$ 650,363,405

Disclosures

Regulatory Event5

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

COMMERCE BROKERAGE SERVICES, INC.

CRD#: 17140St. Louis, MO 63105

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