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Registered advisor
P•••• J••• O••••••
Feed of 09/14/2026
Also filed as P•••• J••• Obrien
At current firm
13 y
since Jan 28, 2013
In the industry
36 y
since Oct 30, 1989 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 28, 2013 · Yorba Linda, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 29, 2013 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 26, 2010 to Jan 3, 2011 · Anaheim, Ca
- C•••• I••••••••• S••••••• C•••• formerApr 1, 2009 to Feb 3, 2010 · Fountain Hills, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 18, 2007 to Feb 9, 2009 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Jan 29, 2013, registered Jan 28, 2013 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Feb 3, 2010, registered Oct 26, 2010 (265 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Feb 9, 2009, registered Apr 1, 2009 (51 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address