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Kevin Thomas O'BRien

Wells Fargo Clearing Services, LLC

Norwell, MA

Cohasset, MA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2021-02-25
TX RA APPROVED_RES 2019-12-12
  • RI RA
    APPROVED
    Since 2021-02-25
  • TX RA
    APPROVED_RES
    Since 2019-12-12

Branch Locations

91 Longwater Circle Ste 300, Norwell, MA 02061 • United States

Cohasset, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Hingham MA 06/2014 12/2018
Raymond James Financial Services Inc. Rockland MA 12/2018 12/2019
Wells Fargo Clearing Services Llc Norwell MA 12/2019 Present
  • 06/2014 → 12/2018
    Raymond James Financial Services, Inc.
    Hingham, MA
  • 12/2018 → 12/2019
    Raymond James Financial Services Inc.
    Rockland, MA
  • 12/2019 → Present
    Wells Fargo Clearing Services Llc
    Norwell, MA
Previous Registrations
Other Businesses

CO-TRUSTEE FOR SISTER'S TRUST; INV. RELATED; COHASSET, MA; START DATE 12/2012; 2 HRS PER MONTH; 1 HR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-24
S63 Uniform Securities Agent State Law Examination 1988-10-06
  • S65 Uniform Investment Adviser Law Examination
    1996-07-24
  • S63 Uniform Securities Agent State Law Examination
    1988-10-06
Other Names
  • Kevin Thomas Obrien

View on SEC IAPD

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Other Offices

ESSENTIAL ASSET MANAGEMENT, LLC · NORWELL, MA
BAY COLONY ADVISORS · NORWELL, MA
FLAGSHIP HARBOR ADVISORS, LLC · NORWELL, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Norwell, MA
LPL FINANCIAL LLC · NORWELL, MA
GORMAN FINANCIAL MANAGEMENT · NORWELL, MA
DIVERSIFIED FINANCIAL MANAGEMENT · NORWELL, MA
RBC CAPITAL MARKETS, LLC · NORWELL, MA

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