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THOMAS OBRIEN
CRD#: 5952054
IA
B
WELLS FARGO ADVISORSCRD#: 19616 901 DULUTH HWY
LAWRENCEVILLE, GA 30043
LAWRENCEVILLE, GA 30043
0
Disclosures
12
Years of Experience
View By:
State Registrations
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California 9/20/2023
B
Nevada 9/25/2024
B
Florida 9/20/2023
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New York 12/6/2024
B
Georgia 5/2/2022
B
North Carolina 1/23/2024
IA
Georgia 5/3/2022
B
South Carolina 8/25/2023
B
Missouri 6/16/2023
SRO Registrations
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B
B
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B
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View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/3/2022
B
Registered with this firm since 5/2/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/18/2014 - 05/18/2022 | ATLANTA, GA | |
B | 04/24/2014 - 05/18/2022 | ATLANTA, GA | |
IA | 09/19/2011 - 07/16/2013 | COLUMBUS, OH | |
B | 08/26/2011 - 07/16/2013 | COLUMBUS, OH |
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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.
IA
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.