Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Obrien is a financial advisor with over 20 years of experience in the financial services industry. Michael currently works at Wells Fargo Securities, LLC and is registered with FINRA and is a licensed broker-dealer in 53 states and jurisdictions. Michael has a strong background in investment banking, operations, and securities.
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.
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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2
CA
07/01/2009 - Present
Wells Fargo Securities, LLC (LOS ANGELES CA)
CA
05/19/2009 - 07/01/2009
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
CA
07/20/2005 - 06/05/2007
RBS SECURITIES CORPORATION (LOS ANGELES CA)
CA
11/26/2002 - 09/04/2003
RSM EQUICO CAPITAL MARKETS LLC (COSTA MESA CA)
NY
10/01/1998 - 02/12/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
08/25/1998 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
BC
Issued 09/11/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/07/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1998
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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