Individual Firm
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WILLIAM JAMES OBRIEN
CRD#: 3213295
IA
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GAMMA INVESTING LLCCRD#: 312573 NORTH READING, MA
0
Disclosures
20
Years of Experience
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State Registrations
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California 8/16/2022
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Massachusetts 5/24/2023
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/04/2022 - 07/28/2022 | WESTPORT, CT | |
B | 09/24/2014 - 09/24/2021 | NEW YORK, NY | |
IA | 03/28/2007 - 08/14/2014 | BOSTON, MA | |
B | 02/21/2007 - 08/14/2014 | BOSTON, MA | |
B | 03/17/2004 - 02/26/2007 | BOSTON, MA | |
B | 01/28/2004 - 03/26/2004 | BOSTON, MA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.