Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin O'Brien is a financial professional with over 30 years of experience in the industry. Kevin is currently registered with Bofa Securities, Inc. and previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc., and Morgan Stanley & Co., Incorporated. Kevin has a broad range of experience and holds a variety of licenses and registrations including Series 7, 52TO, 53, 79TO, and 63. Kevin is registered in 51 states and the District of Columbia. Kevin offers a variety of financial services, including research-related services and publication of periodicals. Kevin is committed to providing his clients with personalized financial advice and guidance.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
CA
05/10/2019 - Present
Bofa Securities, Inc. (LOS ANGELES CA)
CA
02/15/2006 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
12/20/1993 - 02/09/2006
LEHMAN BROTHERS INC. (LOS ANGELES CA)
NY
02/06/1989 - 11/22/1993
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NA
01/19/1988 - 01/05/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BC
Issued 04/13/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative 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 01/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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