Best Investors Account Sign in

Chris I O'BRien

Wells Fargo Clearing Services, LLC

Burlington, VT

Claim This Profile
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
VT RA APPROVED 2020-10-15
  • VT RA
    APPROVED
    Since 2020-10-15

Branch Locations

180 Battery St Ste 300, Burlington, VT 05401 • 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
Ubs Financial Services Inc S. Burlington VT 07/2008 10/2020
Wells Fargo Clearing Services, Llc. Burlington VT 10/2020 Present
Previous Registrations
  • 2008-07-03 → 2020-10-23
    Ubs Financial Services Inc.
    South Burlington, VT
  • 2007-04-02 → 2008-08-04
    Morgan Stanley & Co. Llc
    Burlington, VT
  • 2004-03-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Burlington, VT
    Burlington, VT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-10
  • S66 Uniform Combined State Law Examination
    2004-02-10
Designations
Other Names
  • Christopher I O'BRien
  • Chris I. O'BRien

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
CETERA INVESTMENT ADVISERS LLC
BLUE SLATE INVESTMENT MANAGEMENT
GAINGELS VENTURES LLC
GAINGELS MANAGEMENT LLC
GAINGELS 10X CAPITAL DIVERSITY MANAGEMENT LLC
TEUCRIUM INVESTMENT ADVISORS, LLC
ONE DAY IN JULY LLC

Other Investors

Joseph George Hameline
Zachary Kirka
Alexander B White
RICHARD JOURET KOWALSKI
BRENDA CLAIRE KELLEY
Hans Oshiorenoyai Asoera
RYAN MANYX BARTLEY
PATTI J STEFFENS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Burlington, VT
CETERA INVESTMENT ADVISERS LLC · BURLINGTON, VT
BLUE SLATE INVESTMENT MANAGEMENT · BURLINGTON, VT
GAINGELS VENTURES LLC · BURLINGTON, VT
GAINGELS MANAGEMENT LLC · BURLINGTON, VT
GAINGELS 10X CAPITAL DIVERSITY MANAGEMENT LLC · BURLINGTON, VT
TEUCRIUM INVESTMENT ADVISORS, LLC · BURLINGTON, VT
ONE DAY IN JULY LLC · BURLINGTON, VT

More in Burlington, VT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor