George F. O'brien
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Francis O'brien III, CFP®, who also goes by Frank Obrien III, George Francis Obrien III, George Francis Obrien, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1991. George had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2013 - March 27, 2026
TD PRIVATE CLIENT WEALTH LLC
August 15, 2013 - March 27, 2026
TD PRIVATE CLIENT WEALTH LLC
May 13, 2013 - July 15, 2013
FOURBRIDGES SECURITIES, LLC
May 27, 2011 - August 21, 2013
WHM CAPITAL ADVISORS, LLC
October 6, 2006 - May 13, 2011
TRUIST INVESTMENT SERVICES, INC.
October 3, 2006 - May 13, 2011
TRUIST INVESTMENT SERVICES, INC.
June 15, 2002 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - June 15, 2002
WACHOVIA SECURITIES, INC.
March 31, 1999 - October 6, 1999
WACHOVIA BROKERAGE SERVICE
January 28, 1993 - June 2, 1997
FIRST UNION CAPITAL MARKETS CORP.
October 28, 1991 - February 2, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 |
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.
