Individual Firm
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CHRIS I O'BRIEN
CHRIS I. O'BRIEN, CHRISTOPHER I O'BRIEN
CRD#: 4737726
IA
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WELLS FARGO ADVISORSCRD#: 19616 180 BATTERY ST STE 300
BURLINGTON, VT 05401
BURLINGTON, VT 05401
0
Disclosures
21
Years of Experience
View By:
State Registrations
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Arizona 10/14/2020
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New Hampshire 10/14/2020
B
Arkansas 10/14/2020
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New Jersey 10/14/2020
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California 10/14/2020
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New York 10/14/2020
B
Colorado 1/21/2022
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North Carolina 10/14/2020
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Connecticut 10/14/2020
B
Ohio 10/14/2020
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Florida 10/14/2020
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South Carolina 10/5/2022
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Georgia 10/14/2020
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Vermont 10/15/2020
B
Illinois 9/9/2024
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Vermont 10/15/2020
B
Kentucky 10/14/2020
B
Virginia 10/14/2020
B
Maine 10/14/2020
B
Washington 10/14/2020
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Massachusetts 10/14/2020
SRO Registrations
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Registered with this firm since 10/14/2020
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Registered with this firm since 10/14/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/03/2008 - 10/23/2020 | SOUTH BURLINGTON, VT | |
B | 07/03/2008 - 10/23/2020 | SOUTH BURLINGTON, VT | |
IA | 04/02/2007 - 08/04/2008 | BURLINGTON, VT | |
B | 04/02/2007 - 08/04/2008 | BURLINGTON, VT | |
IA | 03/22/2004 - 04/02/2007 | BURLINGTON, VT | |
B | 02/02/2004 - 04/02/2007 | BURLINGTON, VT |
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B
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.