James Robert O'brien
CFP®Professional Summary
James Robert O'brien, CFP®, who also goes by James Robert Obrien, is a registered financial advisor currently at GILL CAPITAL PARTNERS, LLC located in Denver, Colorado. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 7 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 27, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Planning
- Retirement Planning
- Tax Planning
- Insurance Planning
- Comprehensive Financial Planning
- Estate Planning
Other Aliases
James Robert Obrien
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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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
39 years in the financial services industry
Current & Past Employments
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Current Firm
CONCOURSE CAPITAL CORPORATION | MORRIS,MCCASLAND INVESTMENTS,INC. | GILL CAPITAL PARTNERS, LLC | GILL CAPITAL PARTNERS | GILL AND ASSOCIATES, INC. | GILL & ASSOCIATES, INC.
Contact Information
Main Address
4582 S Ulster Street Suite 1400, Denver, CO 80237Mailing Address
4582 S Ulster Street Suite 1400, Denver, CO 80237Phone Number
(303) 296-6260Established
Colorado since 01/01/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
17SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
FINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,548AUM (Assets Under Management)
$862,369,047Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CONCOURSE CAPITAL CORPORATION | MORRIS,MCCASLAND INVESTMENTS,INC. | GILL CAPITAL PARTNERS, LLC | GILL CAPITAL PARTNERS | GILL AND ASSOCIATES, INC. | GILL & ASSOCIATES, INC.
State Registrations and Notice Filings
(10/17/2006)
(12/13/2006)
(2/13/2007)
(4/2/2003)
(1/21/2004)
(8/15/2011)
(11/10/2006)
(7/18/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 1993SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Robert O'brien's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Robert O'brien's CRS (Customer Relationship Summary).
Services Offered by James
- Investment Planning
- Retirement Planning
- Tax Planning
- Insurance Planning
- Comprehensive Financial Planning
- Estate Planning
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