Michael D. O'brien

O'BRIEN INVESTMENT MANAGEMENT

Torrance, CA 90505

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CRD#: 1296751

Professional summary

Michael Dennis O'brien, CFA, who also goes by Michael Dennis Obrien, Michel D Obrien, Mike Obrien, is a registered financial advisor currently at O'BRIEN INVESTMENT MANAGEMENT, LLC located in Torrance, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Dennis Obrien | Michel D Obrien | Mike Obrien

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis O'brien'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®

CFA

Chartered Financial Analyst

Experience

Current

September 15, 2016 - Present

O'BRIEN INVESTMENT MANAGEMENT, LLC

Office #1: 24594 Hawthorne Blvd., Torrance, CA 90505

RIA

CRD#: 284057

Torrance, CA

Past

February 11, 2013 - August 19, 2016

EVERCORE WEALTH MANAGEMENT, LLC

RIA

CRD#: 148399

LOS ANGELES, CA

Past

December 11, 2008 - February 13, 2013

MT. EDEN INVESTMENT ADVISORS, LLC

RIA

CRD#: 133315

LOS ANGELES, CA

Past

November 5, 1990 - November 30, 1992

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

November 12, 1986 - November 6, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

September 25, 1984 - November 19, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

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".

O'BRIEN INVESTMENT MANAGEMENT, LLC

CRD#: 284057 / SEC#: 801-118289

RIA

Registered Investment Advisory firm - (3/24/2020 Approved)

Arizona

Registered Investment Advisory firm - (3/30/2020 Terminated)

California

Registered Investment Advisory firm - (4/29/2020 Terminated)

Washington

Registered Investment Advisory firm - (5/1/2020 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

Arizona
(10/11/2016)

IAR

California
(9/15/2016)

IAR

Washington
(1/9/2017)

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: 9/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/7/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Current Firm

O'BRIEN INVESTMENT MANAGEMENT, LLC

CRD#: 284057 / SEC#: 801-118289

RIA

Registered Investment Advisory firm - (3/24/2020 Approved)

Arizona

Registered Investment Advisory firm - (3/30/2020 Terminated)

California

Registered Investment Advisory firm - (4/29/2020 Terminated)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

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Contact information

Main Address

24594 Hawthorne Blvd., Torrance, CA 90505

Mailing Address

Phone number

(310) 363-2360

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	301
AUM (Assets Under Management)	$ 231,291,668

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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Firm Stability Insights

Michael D. O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Dennis O'brien's CRS (Customer Relationship Summary).

Certified licenses

Experience

EVERCORE WEALTH MANAGEMENT, LLC

MT. EDEN INVESTMENT ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

O'BRIEN INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/1984

Series 3

Date: 2/7/1985

Series 7

Date: 9/15/1984

Current Firm

O'BRIEN INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

O'BRIEN INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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