Scott William O'brien
CFP®Professional Summary
Scott William O'brien, CFP®, who also goes by Scott William Obrien, is a registered financial advisor currently at WORTHPOINTE located in Austin, Texas. Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Scott has worked at 6 firms and has passed the Series 66 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Retirement Planning
- Risk Management & Insurance
- Investment Management
- Financial Planning
Biography
Scott served as the Chairperson for the NAPFA Texas Study Group and currently serves on the Board of Directors for the Center for Child Protection in Austin, TX and and is the past Board President for Susan G. Komen Austin. His claim to fame is being the starting point guard for his high school basketball team that won the Maine State Championship and New England Basketball Championship beating the 7th ranked team in the country....
Other Aliases
Scott William Obrien
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
ENCUBIC | WORTHPOINTE, LLC | WORTHPOINTE | TROVENA INVESTMENT ADVISORS | ONCUBIC, L.L.C.
Contact Information
Main Address
Ramona, CAMailing Address
888 Prospect Street Suite 200, La Jolla, CA 92037Phone Number
(800) 620-4232# of Employees
16SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,703AUM (Assets Under Management)
$1,057,380,274Similar Advisors
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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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ENCUBIC | WORTHPOINTE, LLC | WORTHPOINTE | TROVENA INVESTMENT ADVISORS | ONCUBIC, L.L.C.
State Registrations and Notice Filings
(6/11/2012)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Scott William O'brien's CRS (Customer Relationship Summary).
Services Offered by Scott
- Retirement Planning
- Risk Management & Insurance
- Investment Management
- Financial Planning
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