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Brendan John O'Brien

Fidelity Brokerage Services LLC

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About Brendan John O'Brien

Brendan O'Brien is a financial advisor with Fidelity Brokerage Services LLC. He is a Series 7, 9, 10, 24, 4, 55, and 63 licensed professional with over 20 years of experience in the industry. Brendan has held previous positions with CAPFINANCIAL SECURITIES, LLC., MF GLOBAL INC., CONCEPT CAPITAL MARKETS, LLC, SANDERS MORRIS HARRIS INC., STANFORD GROUP COMPANY, TRADITION ASIEL SECURITIES INC. and SOUNDVIEW TECHNOLOGY CORPORATION. Brendan is registered in Massachusetts, North Carolina, Texas, and Utah.

Firm Information

Brendan O'Brien is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Brendan O'Brien’s Registration & Firm History

NC

05/19/2022 - Present

Fidelity Brokerage Services LLC (DURHAM NC)

NC

04/13/2012 - 02/28/2017

CAPFINANCIAL SECURITIES, LLC. (RALEIGH NC)

NY

11/01/2010 - 12/05/2011

MF GLOBAL INC. (NEW YORK NY)

NY

11/01/2010 - 11/02/2010

CONCEPT CAPITAL MARKETS, LLC (NEW YORK NY)

NY

05/10/2010 - 11/02/2010

SANDERS MORRIS HARRIS INC. (NEW YORK NY)

NY

07/29/2005 - 03/24/2009

STANFORD GROUP COMPANY (NEW YORK NY)

NY

08/07/2002 - 09/30/2004

TRADITION ASIEL SECURITIES INC. (NEW YORK NY)

CT

01/01/1996 - 08/15/2002

SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)

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Licenses & Designations

BC

Issued 05/13/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/30/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/24/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/16/2012

Series 4 - Registered Options Principal Examination

BC

Issued 04/15/2008

Series 24 - General Securities Principal Examination

BC

Issued 04/09/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/07/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There is public disclosure for Brendan John O'Brien. Review regulatory record here.
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