Robert J. 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.
Robert Joseph Obrien was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 5 firms and has passed the Series 63, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2000 - April 17, 2002
WINDSOR STREET CAPITAL, LP
June 9, 1995 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
July 16, 1985 - September 1, 1994
RICKEL & ASSOCIATES, INC.
October 11, 1977 - August 25, 1983
FIRST INTERREGIONAL EQUITY CORP.
May 16, 1977 - October 16, 1977
SCHWAMM & CO., INC.
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
F04
Date: 5/23/1977
Financial Principal ExaminationSeries 40
Date: 5/12/1977
Registered Principal ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
