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DO

Dennis P. O'brien

WEBULL FINANCIAL LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 7511012
DO

Professional summary

Dennis Patrick O'brien is a registered financial professional currently at WEBULL FINANCIAL LLC located in New York, New York.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2022. Dennis has worked at 1 firm and has passed the Series 3, Series 7TO, SIE and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Dennis Patrick O'brien'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

July 1, 2022 - Present

WEBULL FINANCIAL LLC

Office #1: 44 Wall Street 2nd Floor, New York, NY 10005
BD
CRD#: 289063
New York, NY

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

General Industry/Product Exam
RR
Series 3
Date: 7/1/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/25/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/22/2022
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WEBULL FINANCIAL LLC
WEBULL FINANCIAL LLC

CRD#: 289063 / SEC#: , 8-69978

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

Main Address
44 Wall Street 2nd Floor, New York, NY 10005
Mailing Address
44 Wall Street 2nd Floor, New York, NY 10005
Phone number
(917) 725-2448
Established
Delaware since 05/24/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
WEBULL HOLDINGS (US) INC.OWNER/ MANAGING MEMBER
DENIER, ANTHONY MICHAELCHIEF EXECUTIVE OFFICER3260208
ENGELSOHN, MOSHE BINYAMINFINOP / CHIEF FINANCIAL OFFICER2504044
KEATING, JOHNCHIEF COMPLIANCE OFFICER7087074
LU, SHENCHIEF OPERATING OFFICER4640530

Disclosures

Regulatory Event5
Arbitration1

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

WEBULL FINANCIAL LLC

CRD#: 289063New York, NY 10005

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