Unclaimed
John Feighan Obrien is a securities professional with over 28 years of experience in the financial services industry. Currently, John is a registered representative with Roth Capital Partners, LLC, a broker-dealer headquartered in Newport Beach, CA. Before joining Roth Capital Partners, LLC in January 2023, John was a registered representative with MKM Partners LLC, a broker-dealer headquartered in Newport Beach, CA.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
1
2
CA
01/31/2023 - Present
Roth Capital Partners, LLC (NEWPORT BEACH CA)
CA
06/16/2006 - 01/31/2023
MKM PARTNERS LLC (NEWPORT BEACH CA)
OH
04/12/1999 - 06/20/2006
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
MO
06/13/1995 - 03/03/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
MD
03/10/1994 - 08/18/1995
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
PA
11/24/1993 - 02/02/1994
SEI FINANCIAL SERVICES COMPANY (OAKS PA)
BC
Issued 10/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2003
Series 24 - General 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 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/23/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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