Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris O'Brien is a financial advisor with over 16 years of experience in the industry. Chris has a strong background in the financial services industry, having previously worked at UBS Financial Services Inc. and Morgan Stanley. Chris is currently registered with Wells Fargo Clearing Services, LLC, providing investment advisory services to individuals, corporations, and institutions.
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.
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.
Investment consulting services to institutional clients
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.
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2
VT
10/15/2020 - Present
Wells Fargo Clearing Services, LLC (BURLINGTON VT)
VT
07/03/2008 - 10/23/2020
UBS FINANCIAL SERVICES INC. (SOUTH BURLINGTON VT)
VT
04/02/2007 - 08/04/2008
MORGAN STANLEY & CO. INCORPORATED (BURLINGTON VT)
VT
02/02/2004 - 04/02/2007
MORGAN STANLEY DW INC. (BURLINGTON VT)
BOTH
Issued 02/10/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/30/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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