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Thomas Christopher Obrien

Moors & Cabot, Inc.

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About Thomas Christopher Obrien

Thomas Christopher Obrien is a financial advisor registered in 24 states. He has worked in the securities industry since December 20, 1982 and is currently affiliated with Moors & Cabot, Inc., a Boston-based firm. He holds several licenses, including Series 7, Series 63 and Series 65 licenses. Thomas has a focus on retirement planning, investment management for individuals and businesses, and financial planning.

Firm Information

Thomas Obrien is currently registered with Moors & Cabot, Inc.. Moors & Cabot, Inc. is a corporation that provides financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They have been in business since 1978 and have offices in Boston, MA. They have over 200 employees and manage over $3 billion in assets. The firm is registered with the SEC and in all 50 states. They also participate in wrap fee programs.
Moors & Cabot, Inc.

ONE FEDERAL STREET

BOSTON, MA 02110

$3.09B

Assets Under Management

15

Total Clients

97

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Obrien’s Registration & Firm History

MA

01/23/2006 - Present

Moors & Cabot, Inc. (BOSTON MA)

MD

06/17/1988 - 02/14/2006

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

NA

12/21/1982 - 07/09/1988

PRUDENTIAL-BACHE SECURITIES INC.

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Licenses & Designations

IA

Issued 12/29/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/05/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Thomas Christopher Obrien. Review regulatory record here.
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