Eugene O'brien
Professional summary
Eugene O'brien, who also goes by Eugene Obrien, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Irvine, California and CETERA ADVISORS LLC located in Irvine, California.
Eugene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Eugene has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Eugene O'brien's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 15560 Rockfield Bldg. C, Suite 203, Irvine, CA 92618Office #2: 111 N. Market, Ste 350, San Jose, CA 95113September 8, 2022 - Present
CETERA ADVISORS LLC
Office #2: 4000 Barranca Parkway Suite 250, Irvine, CA 92604December 19, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
December 19, 2012 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 12, 2004 - July 8, 2010
REDWITZ WEALTH MANAGEMENT GROUP
July 30, 2004 - December 20, 2012
1ST GLOBAL ADVISORS INC
July 16, 2004 - December 20, 2012
1ST GLOBAL CAPITAL CORP.
June 29, 1987 - April 4, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/23/2023)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(8/11/2023)
(9/8/2022)
(9/8/2022)
(1/14/2025)
(9/8/2022)
(10/17/2024)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(4/1/2024)
(4/1/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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
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