WO
William J. Obrien
CETERA INVESTMENT ADVISERS LLC
Naples, FL 34119
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CRD#: 1075392
WO
Professional summary
William James Obrien is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Naples, Florida and CETERA ADVISORS LLC located in Naples, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1.DBA: COMPREHENSIVE STRATEGIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL, ADVISORY AND INSURANCE SERVICES, START JANUARY 2015, 40 PLUS HOURS PER WEEK - DURING TRADING HOURS, REGISTERED REPRESENTATIVE - FINANCIAL ADVISOR.
2.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 3/2017
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
POSITION/TITLE/RELATIONSHIP: AGENT
BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, ANNUITIES, & LONG TERM CARE
3.CHARACTER ACTOR, NOT INVESTMENT RELATED, ADDRESS IS THE RESIDENTIAL LOCATION, CHARACTER ACTOR, PERFORMER, TV & RADIO, START 1966, 0-5 HOURS PER WEEK - MAY VARY DURING TRADING HOURS, ACTOR - PERFORMER.
5. SGTBILLY.COM, NOT INVESTMENT RELATED, SAME AS RESIDENTIAL ADDRESS, WEBSITE, STARTED 9/2016, OWNER, APX 4 HOURS PER WEEK, NOT DURING TRADING HOURS,BRIEF DESCRIPTION OF DUTIES: WEBSITE FOR ROLE AS ACTOR
CRS (Client Relationship Summary) - RIA
Click below to view William James Obrien's 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®
NoneExperience
Current
January 31, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 28874 Blaisdell Dr, Naples, FL 34119RIA
CRD#: 105644
Naples, FL
Current
January 15, 2015 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
Naples, FL
Past
January 16, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SANDWICH, MA
Past
December 9, 2002 - January 15, 2015
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
SANDWICH, MA
Past
December 6, 2002 - January 15, 2015
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SANDWICH, MA
Past
January 15, 2000 - January 10, 2003
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
WALTHAM, MA
Past
October 20, 1992 - January 14, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
December 27, 1982 - September 10, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
December 27, 1982 - September 10, 1992
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/15/2015)
IAR
Florida(1/31/2024)
RR
Illinois(6/30/2017)
RR
Massachusetts(1/15/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
