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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2017-04-05 |
| TX | RA | APPROVED_RES | 2017-03-13 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Novi | MI | 06/2008 | 02/2017 |
| Oppenheimer & Co Inc | Birmingham | MI | 03/2017 | Present |
I AM CO-TRUSTEE ALONG WITH MY WIFE PENNIE L. O'BRIAN OF OUR LIVING TRUST UAD 9/11/2020. THIS IS SIMPLY GOING TO RECEIVE SECURITIES TAHT WE MAY OWN NOW OR IN THE FUTURE. MAINLY EQUITIES AND MUTUAL FUNDS, DEMANDS ON MY TIME WILL BE MINIMAL, PERHAPS 1 HR PER MONTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 1980-06-10 |
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