JO
James R. O'brien
GILL CAPITAL PARTNERS
DENVER, CO 80237
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CRD#: 1594632
JO
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 Series 8 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Tax Planning
Insurance Planning
Comprehensive Financial Planni...
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
James Robert 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.
REBEL FARM Hydroponic Farm Not Investment Related Address: 5445 W. Evans Ave, Denver, CO 80227 Position: Owner Start Date: 12/30/2022 Approx # of monthly hours worked outside of business hours (11-20) Approx # of Monthly hours worked during business hours (1-5) Duties: Oversight of Operations FAMILY INVESTMENT GROUP Investment Related Address: 3448 E Neilsen Lane, Denver, CO 80210 Family Investment Partnership Member Start Date: 1/6/2022 Approx # of monthly hours worked outside of business hours (1-5) Approx # of Monthly hours worked during business hours (1-5) Duties: Provide education to members and help with investment research JAMES O'BRIEN TAX PREP Not Investment Related Address: 3448 E Neilsen Lane, Denver, CO 80210 Tax Preparation Owner (Sole Proprietor) Start Date: 12/21/2021 Approx # of monthly hours worked outside of business hours (6-10) Approx # of Monthly hours worked during business hours (1-5) Prepare Individual Tax Returns
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2006
Experience
Current
January 21, 2004 - Present
GILL CAPITAL PARTNERS, LLC
Office #1: 4582 S. Ulster St. Suite 1400, Denver, CO 80237Office #2: 4582 S. Ulster St. Suite 1400, Denver, CO 80237RIA
BD
CRD#: 14559
DENVER, CO
Current
April 2, 2003 - Present
GILL CAPITAL PARTNERS, LLC
Office #1: 4582 S Ulster Street Suite 1400, Denver, CO 80237Office #2: 4582 S. Ulster St. Suite 1400, Denver, CO 80237RIA
BD
CRD#: 14559
DENVER, CO
Past
July 19, 2002 - December 31, 2005
O'BRIEN CAPITAL MANAGEMENT, INC.
RIA
CRD#: 121541
HIGHLANDS RANCH, CO
Past
January 31, 1992 - March 8, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
April 13, 1991 - January 6, 1992
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
December 6, 1989 - January 2, 1991
RICHFIELD SECURITIES, INC.
BD
CRD#: 16109
Past
November 30, 1987 - August 12, 1989
TRI-BRADLEY INVESTMENTS
BD
CRD#: 14208
Past
September 24, 1987 - December 2, 1987
K.A. KNAPP & CO., INC.
BD
CRD#: 13338
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".
GC
GILL CAPITAL PARTNERS, LLC
CONCOURSE CAPITAL CORPORATION | MORRIS,MCCASLAND INVESTMENTS,INC. | GILL CAPITAL PARTNERS, LLC | GILL CAPITAL PARTNERS | GILL AND ASSOCIATES, INC. | GILL & ASSOCIATES, INC.
CRD#: 14559 / SEC#: 801-67301, 8-30563
RIA
Registered Investment Advisory firm - SEC (12/15/2006 Approved)Colorado
Registered Investment Advisory firm - SEC (1/4/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Arizona(10/17/2006)
RR
California(12/13/2006)
IAR
California(2/13/2007)
RR
Colorado(4/2/2003)
IAR
Colorado(1/21/2004)
RR
Florida(8/15/2011)
RR
Nebraska(11/10/2006)
IAR
Texas(7/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/18/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
GC
GILL CAPITAL PARTNERS, LLC
CONCOURSE CAPITAL CORPORATION | MORRIS,MCCASLAND INVESTMENTS,INC. | GILL CAPITAL PARTNERS, LLC | GILL CAPITAL PARTNERS | GILL AND ASSOCIATES, INC. | GILL & ASSOCIATES, INC.
CRD#: 14559 / SEC#: 801-67301, 8-30563
RIA
Registered Investment Advisory firm - SEC (12/15/2006 Approved)Colorado
Registered Investment Advisory firm - SEC (1/4/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
4582 S Ulster Street Suite 1400, Denver, CO 80237
Mailing Address
4582 S Ulster Street Suite 1400, Denver, CO 80237
Phone number
(303) 296-6260
Established
Colorado since 01/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18
SEC notice filing (11 States and Territories)
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,594 |
| AUM (Assets Under Management) | $ 790,007,641 |
Disclosures
| Regulatory Event | 3 |
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.
