Margaret M. Obrien
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.
Margaret Mary Obrien, who also goes by Margaret Mary Mccormack, Margaret Mary Mccormack Obrien, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1980. Margaret had worked at 4 firms and has passed the Series 63, Series 15, Series 5, Series 7, Series 23, Series 10 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 1998 - February 28, 2001
DEUTSCHE SECURITIES AUSTRALIA, INC.
March 2, 1998 - September 4, 2012
DEUTSCHE BANK SECURITIES INC.
March 20, 1997 - March 2, 1998
NATWEST SECURITIES CORPORATION
August 2, 1994 - March 14, 1995
JANNEY MONTGOMERY SCOTT LLC
April 23, 1980 - December 22, 1993
JANNEY MONTGOMERY SCOTT LLC
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
Series 15
Date: 7/27/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/18/1981
Interest Rate Options ExaminationCurrent Firm
DEUTSCHE SECURITIES AUSTRALIA, INC.
CRD#: 15076 / SEC#: , 8-31670
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEUTSCHE SECURITIES AUSTRALIA LTD. | STOCKHOLDER | |
| BORDA, KENNETH CHARLES | CHAIRMAN/DIRECTOR | 3276806 |
| CULLEN, MARK HUNTER | PRESIDENT | 2309559 |
| FITTER, JAMES NICHOLAS | TREASURER/FINANCIAL PRINCIPAL | 2152941 |
| HERRON, HENRY KENNETH | DIRECTOR | 1617512 |
| OBRIEN, MARGARET MARY | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 707224 |
| PHELOUNG, LANDY PETER | SECRETARY/CHIEF COMPLIANCE OFFICER | 1402750 |
| PRIDE, ROBERT DICKSON | DIRECTOR | 4131515 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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