Stephen P. Saroki

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CRD#: 6763683

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.

Stephen Paul Saroki was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2017. Stephen had worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

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

August 19, 2017 - February 4, 2019

OBRIEN GREENE & CO INC

RIA

CRD#: 110281

MEDIA, PA

Past

March 6, 2017 - May 10, 2017

ANAXI CAPITAL MANAGEMENT LLC

RIA

CRD#: 285592

Bayonne, NJ

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".

OBRIEN GREENE & CO INC

CRD#: 110281 / SEC#: 801-5866

RIA

Registered Investment Advisory firm - (7/18/1969 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

OBRIEN GREENE & CO INC

CRD#: 110281 / SEC#: 801-5866

RIA

Registered Investment Advisory firm - (7/18/1969 Approved)

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Contact information

Main Address

218 W. State Street, Media, PA 19063

Mailing Address

Phone number

(610) 891-7880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

O'BRIEN GREENE & CO. INC. PART 2A 03-18-2025 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	344
AUM (Assets Under Management)	$ 416,754,153

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.

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Stephen P. Saroki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OBRIEN GREENE & CO INC

ANAXI CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

OBRIEN GREENE & CO INC

State Registrations and Notice Filings

Exams

Current Firm

OBRIEN GREENE & CO INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OBRIEN GREENE & CO INC

TRUST BUT VERIFY

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