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Fuguan Obrien

NPM SECURITIES
NEW YORK, NY 10016
Some features on this profile are disabled
CRD#: 7992867
FO
Fuguan ObrienNPM SECURITIES

Professional summary

Fuguan Obrien is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.

Fuguan is registered as a RR (Registered Representative) and started their career in finance in 2025. Fuguan has worked at 1 firm and has passed the Series 99TO and SIE exams.

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 Fuguan Obrien'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

June 17, 2026 - Present

NPM SECURITIES, LLC

Office #1: 3 East 28th Street 7th Floor, New York, NY 10016
BD
CRD#: 168469
NEW YORK, NY
Past

March 11, 2025 - October 6, 2025

NPM SECURITIES, LLC

BD
CRD#: 168469
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 99TO
Date: 3/10/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 2/10/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NPM SECURITIES, LLC
NPM SECURITIES, LLC

CRD#: 168469 / SEC#: , 8-69312

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

Main Address
3 East 28th Street 7th Floor, New York, NY 10016
Mailing Address
3 East 28th Street 7th Floor, New York, NY 10016
Phone number
(646) 968-7064
Established
Delaware since 05/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NASDAQ PRIVATE MARKET, LLC (FKA: COPELAND MARKETS)SHAREHOLDER
AFONJA, LATIFATFINOP5443130
CALLAHAN, THOMAS FRANCISCHIEF EXECUTIVE OFFICER2278823
KROCULICK, ANDREW JOHNHEAD OF BUSINESS OPERATIONS AND CLIENT EXPERIENCE7759899
SETARO, CHRISTOPHER MICHAELCHIEF COMPLIANCE OFFICER2635774

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NPM SECURITIES, LLC

CRD#: 168469New York, NY 10016

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