Edward I. Obrien

SOPHIS INVESTMENTS LLC

NEW YORK, NY 10177-0799

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CRD#: 1001911

Professional summary

Edward Ignatious Obrien is a registered financial advisor currently at SOPHIS INVESTMENTS LLC located in New York, New York.

Edward is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Edward has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

EDWARD OBRIEN LLC-OFFICER (HOLDING COMPANY) 215 E79TH STREET APT10A NEW YORK, NY 10075, 20% OF TIME INVOLVED,(0) ZERO HRS COMMITTED DURING TRADING HRS, NO COMPENSATION INVOLVED, NON-INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Ignatious Obrien's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 31, 2017 - Present

SOPHIS INVESTMENTS LLC

Office #1: 250 Park Avenue 7th Floor, New York, NY 10177-0799

RIA

CRD#: 170391

NEW YORK, NY

Past

March 26, 2015 - April 12, 2021

ALEXANDER CAPITAL, L.P.

CRD#: 40077

NEW YORK, NY

Past

August 4, 2010 - April 23, 2013

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

July 9, 2002 - April 21, 2009

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

NEW YORK, NY

Past

July 6, 2000 - July 18, 2002

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

August 19, 1981 - March 9, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOPHIS INVESTMENTS LLC

RATIONAL INVESTORS | SOPHIS INVESTMENTS LLC | SOPHIS INVESTMENTS

CRD#: 170391 / SEC#: 801-114611

RIA

Registered Investment Advisory firm - (2/19/2019 Approved)

Connecticut

Registered Investment Advisory firm - (4/23/2019 Terminated)

District of Columbia

Registered Investment Advisory firm - (4/12/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (4/12/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(10/31/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/16/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/22/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/1997

General Securities Principal Examination

Current Firm

SOPHIS INVESTMENTS LLC

RATIONAL INVESTORS | SOPHIS INVESTMENTS LLC | SOPHIS INVESTMENTS

CRD#: 170391 / SEC#: 801-114611

RIA

Registered Investment Advisory firm - (2/19/2019 Approved)

Connecticut

Registered Investment Advisory firm - (4/23/2019 Terminated)

District of Columbia

Registered Investment Advisory firm - (4/12/2019 Terminated)

Nebraska

Registered Investment Advisory firm - (4/12/2019 Terminated)

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Contact information

Main Address

250 Park Avenue 7th Floor, New York, NY 10177-0799

Mailing Address

Phone number

(212) 572-6360

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOPHIS INVESTMENTS FORM ADV PART 2A BROCHURE (10/7/2025)

Regulatory assets under management

Total Number of Accounts	79
AUM (Assets Under Management)	$ 128,501,295

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Edward I. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Ignatious Obrien's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

GUGGENHEIM SECURITIES, LLC

KEEFE, BRUYETTE & WOODS, INC.

ADVEST, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

SOPHIS INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/1994

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1981

Series 53

Date: 4/22/2008

Series 24

Date: 3/24/1997

Current Firm

SOPHIS INVESTMENTS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOPHIS INVESTMENTS LLC

TRUST BUT VERIFY

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