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Colleen A O'BRien

Morgan Stanley

Santa Cruz, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-10-08
TX RA APPROVED_RES 2021-10-08
  • CA RA
    APPROVED
    Since 2021-10-08
  • TX RA
    APPROVED_RES
    Since 2021-10-08

Branch Locations

6004 La Madrona Drive, Santa Cruz, CA 95060 • 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
Charles Schwab & Co., Inc. Oakland CA 10/2007 09/2021
Charles Schwab Bank Oakland CA 04/2008 09/2021
Morgan Stanley Scotts Valley CA 09/2021 Present
Previous Registrations
  • 2007-10-25 → 2021-10-06
    Charles Schwab & Co., Inc.
    Fremont, CA
    San Ramon, CA
    Walnut Creek, CA
    Pleasanton, CA
    Westlake, TX
    Oakland, CA
    Fremont, CA
    Walnut Creek, CA
    Woodland Hills, CA
  • 2007-04-02 → 2007-10-02
    Morgan Stanley & Co. Llc
    San Rafael, CA
  • 2001-03-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Rafael, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-11
S63 Uniform Securities Agent State Law Examination 1996-05-29
  • S65 Uniform Investment Adviser Law Examination
    1998-08-11
  • S63 Uniform Securities Agent State Law Examination
    1996-05-29
Other Names
  • Colleen Epstein
  • Colleen Obrien
  • Colleen Anne Obrien
  • Colleen Anne O'BRien
  • Colleen A Obrien

View on SEC IAPD

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Other Investors

TIFFANY DANIELLE HAMMER
NIKOLAS MARSHAL BARR
NAYANA T D DARRAH
Jon Michael Hanson
Kenneth A Evans
Josiah T Clymer
RICHARD MICHAEL KAPCHUK
MAGGIE MERIDETH MARTIN

Other Offices

EDWARD JONES · SCOTTS VALLEY, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Scotts Valley, CA
CETERA INVESTMENT ADVISERS LLC · SCOTTS VALLEY, CA
J.P. MORGAN SECURITIES LLC · SCOTTS VALLEY, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Scotts Valley, CA
VALIC FINANCIAL ADVISORS, INC. · SCOTTS VALLEY, CA
EDWARD JONES · SCOTTS VALLEY, CA
EDWARD JONES · Scotts Valley, CA

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