Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Casy? Claim Your ProfileCasy Michael Obrien is a financial professional with over 30 years of experience in the financial services industry. Casy Michael Obrien is currently registered with Raymond James & Associates, Inc. and has held previous positions at Morgan Keegan & Company, Inc., RBC Dain Rauscher Inc., Dain Rauscher Incorporated, and Dain Bosworth Incorporated. Casy Michael Obrien holds a variety of licenses and certifications, including Series 7, Series 24, Series 53, Series 63, Series 79TO, Series 99TO, and SIE. Casy Michael Obrien provides a range of financial services, including investment advisory, financial planning, portfolio management, and educational seminars. Casy Michael Obrien is dedicated to helping clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
04/02/2012 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
TN
02/22/2007 - 03/15/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
IL
03/02/1998 - 03/06/2007
RBC DAIN RAUSCHER INC. (CHICAGO IL)
NA
01/01/1995 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NY
04/12/1993 - 11/09/1994
REGIONAL OPERATIONS GROUP, INC. (NEW YORK NY)
NA
10/25/1990 - 04/12/1993
DAIN BOSWORTH INCORPORATED
BC
Issued 09/24/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2019
Series 24 - General Securities Principal Examination
BC
Issued 07/02/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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