Andrew T. 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.
Andrew Thomas O'brien, who also goes by Andrew Thomas Obrien, Drew Thomas Obrien, Drew Obrien, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2015. Andrew had worked at 5 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
July 12, 2018 - July 25, 2019
B. RILEY SECURITIES, INC.
September 11, 2017 - July 25, 2019
B. RILEY WEALTH MANAGEMENT
September 11, 2017 - July 25, 2019
B. RILEY WEALTH MANAGEMENT
March 25, 2017 - September 13, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - September 13, 2017
MML INVESTORS SERVICES, LLC
June 14, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 28, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 25, 2016 - March 22, 2016
WADDELL & REED
October 20, 2015 - March 22, 2016
WADDELL & REED
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
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| 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.
