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CO

Connor H. O'brien

Some features on this profile are disabled
CRD#: 7134423
CO

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.

Connor Hogan O'brien, who also goes by Connor Hogan O Brien, Connor Hogan Obrien, Connor Obrien, was a registered financial professional .

Connor is a previously registered financial professional and started their career in finance in 2020. Connor had worked at 4 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Connor Hogan O Brien | Connor Hogan Obrien | Connor 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.
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

May 24, 2023 - November 20, 2025

FEF DISTRIBUTORS, LLC

BD
CRD#: 46585
NEW YORK, NY
Past

October 29, 2021 - May 3, 2023

HRC FUND ASSOCIATES, LLC

BD
CRD#: 142846
NEW YORK, NY
Past

September 24, 2020 - September 21, 2021

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

February 22, 2020 - March 3, 2020

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA

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
Series 63
Date: 10/19/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/22/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/8/2020
Securities Industry Essentials Examination

Current Firm

FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC

CRD#: 46585 / SEC#: , 8-51483

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIRST EAGLE INVESTMENT MANAGEMENT, LLCMANAGING MEMBER108260
BRUNO, ROBERTMANAGER2102844
CARULLO, MODESTINO VITOCHIEF COMPLIANCE OFFICER1528768
CONSTANTINO, MICHAELMANAGER2932606
FONG, CHUN WAICHIEF FINANCIAL OFFICER AND FINOP4944446
OCONNOR, DAVIDGENERAL COUNSEL AND MANAGER5077118
RICCIO, FRANK JOSEPHPRESIDENT AND MANAGER4271374

Disclosures

Regulatory Event1

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

FEF DISTRIBUTORS, LLC

CRD#: 46585

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