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Barry William Obrien

Barry W. Obrien

O'BRIEN ASSET MANAGEMENT
ELIOT, ME
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CRD#: 2086109
Barry William Obrien

Professional summary

Barry William Obrien, CFP® is a registered financial advisor currently at O'BRIEN ASSET MANAGEMENT located in Eliot, Maine.

Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Barry has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Barry William Obrien'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®

Certified Financial Planner

Start date: 2008

Experience

Current

August 31, 2007 - Present

O'BRIEN ASSET MANAGEMENT

RIA
CRD#: 144502
ELIOT, ME
Past

March 22, 2007 - May 4, 2007

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PORTSMOUTH, NH
Past

June 4, 2004 - December 11, 2006

ROSENTHAL GLOBAL SECURITIES LLC

BD
CRD#: 19721
CHICAGO, IL
Past

November 18, 1996 - May 28, 2004

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

September 8, 1992 - June 14, 1996

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

August 9, 1990 - July 14, 1992

SANWA SECURITIES (USA) CO., L.P.

BD
CRD#: 19697
NEW YORK, NY

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
Maine
(8/31/2007)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/27/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1995
General Securities Representative Examination

Current Firm

OA
O'BRIEN ASSET MANAGEMENT
O'BRIEN ASSET MANAGEMENT | O'BRIEN ASSET MANAGEMENT LLC

CRD#: 144502 / SEC#:

Maine
Registered Investment Advisory firm - (8/31/2007 Approved)
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Contact information

Main Address
Eliot, ME
Mailing Address
Phone number
(207) 457-0346
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts144
AUM (Assets Under Management)$ 33,046,573

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.

Company Information

O'BRIEN ASSET MANAGEMENT

CRD#: 144502Eliot, ME

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