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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Shawn Michael O'Brien

Advisor at LPL FINANCIAL LLC

FORT MILL, SC | Charlotte, NC

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Search this name across graphsid dfx:ria:649dd536-1665-0c28-8bc4-5f02df8a7267

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 9, 2014 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 9, 2014
First registration: Sep 9, 2014
Dual registered: yes, broker-dealer
Other names: SHAWN MICHAEL OBRIEN|Shawn M Obrien
IAPD individual key: 6365516

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 3, 2025	n/a	yes	FORT MILL, SC\|Charlotte, NC	Current employment
WELLS FARGO ADVISORS	Wirehouse	Aug 16, 2023	Sep 22, 2025	no	CHARLOTTE, NC\|ST. LOUIS, MO	Previous registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Independent wealth	Apr 8, 2021	Jun 2, 2022	no	CHARLOTTE, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 9, 2014	Mar 25, 2021	no	CHARLOTTE, NC\|ST. LOUIS, MO\|CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Sep 22, 2025	Oct 3, 2025	11	Firm change	Wirehouse to ibd
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	WELLS FARGO ADVISORS	Jun 2, 2022	Aug 16, 2023	440	Firm change after gap	RIA to wirehouse
WELLS FARGO ADVISORS	MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Mar 25, 2021	Apr 8, 2021	14	Firm change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 3, 2025 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 16, 2023 to Sep 22, 2025factForm ADV
→ MUTUAL OF OMAHA INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Apr 8, 2021 to Jun 2, 2022factForm ADV

Dated events

Occurred
Sep 22, 2025
Advisor changed firm
Shawn Michael O'Brien left Wells Fargo Advisors for Lpl Financial Llc (registered 2025-10-03)
Form ADVobserved 5 days ago
Occurred
Jun 2, 2022
Advisor changed firm
Shawn Michael O'Brien left Mutual Of Omaha Investor Services, Inc. for Wells Fargo Advisors (registered 2023-08-16)
Form ADVobserved 5 days ago