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Detailed Report
Matthew David O'Brien Jr
MATTHEW David O BRIEN Jr, Matt O'Brien, MATTHEW DAVID OBRIEN
CRD#: 6580824
IA
Investment Adviser
B
Broker
JANNEY MONTGOMERY SCOTT LLCCRD#: 463 60 Willow Street
Suite 101
Mystic, CT 06355
Registration History
201620172018201920202021202220232024202520262 FIRMS2018 - 2019 (<1 year)2 FIRMS2021 - 2021 (<1 year)2 FIRMS2022 - Present (2 years)BEDWARD JONES (CRD# 250)2016 - 2018 (1 year)IAEDWARD JONES (CRD# 250)2017 - 2018 (1 year)
Disclosure(s)
View By:
1/20/2021
Financial
Final
1/20/2021
Financial
Final
1/20/2021
Financial
Pending
1/20/2021
Financial
Pending
3/16/2020
Financial
Pending
3/16/2020
Financial
Final
License(s)

State Registrations

B
Arizona 5/30/2023
B
North Carolina 5/19/2023
B
California 5/19/2023
B
Oregon 7/18/2023
B
Connecticut 4/3/2022
B
Pennsylvania 5/19/2023
IA
Connecticut 4/3/2022
B
Rhode Island 5/24/2023
B
Florida 5/19/2023
B
South Carolina 5/23/2023
B
Maryland 9/25/2023
B
South Dakota 5/22/2023
B
Massachusetts 8/4/2023
B
Tennessee 1/16/2024
B
Michigan 5/22/2023
B
Texas 5/19/2023
B
New Hampshire 7/7/2023
B
Virginia 5/22/2023

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
60 Willow Street Suite 101, Mystic, CT 06355
Registered with this firm since 4/3/2022
B
JANNEY MONTGOMERY SCOTT LLC (CRD#:463)
60 Willow Street Suite 101, Mystic, CT 06355
Registered with this firm since 3/15/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/19/2021 - 12/22/2021 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) WEST HARTFORD, CT
B
 02/18/2021 - 12/22/2021 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) WEST HARTFORD, CT
IA
 12/12/2018 - 06/19/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) FARMINGTON, CT
B
 12/12/2018 - 06/19/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) FARMINGTON, CT
IA
 01/20/2017 - 07/05/2018 EDWARD JONES (CRD#:250) MANCHESTER, CT
B
 11/01/2016 - 07/05/2018 EDWARD JONES (CRD#:250) MANCHESTER, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.