John L. Obrien
Professional summary
John Lane Obrien is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Brookfield, Connecticut and WESTMINSTER FINANCIAL SECURITIES, INC. located in Brookfield, Connecticut.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Lane Obrien's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2018 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 2 Old New Milford Road Ste 3f, Brookfield, CT 06804September 12, 2018 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 2 Old New Milford Road Ste 3f, Brookfield, CT 06804January 2, 2004 - July 18, 2018
OSAIC FA, INC.
December 11, 2003 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 11, 2003 - July 18, 2018
OSAIC FA, INC.
August 15, 1995 - December 19, 2003
VERAVEST INVESTMENT ADVISORS, INC.
May 15, 1992 - December 19, 2003
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2018)
(10/10/2018)
(4/25/2019)
(4/25/2019)
(9/13/2018)
(9/17/2018)
(2/21/2019)
(2/21/2019)
(1/2/2019)
(1/2/2019)
(1/23/2019)
(2/21/2019)
(10/15/2018)
(8/13/2021)
(7/5/2019)
(8/7/2019)
(12/4/2018)
(12/4/2018)
Exams
FINRA
Current Firm
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283 / SEC#: 801-29690
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/11/2025 | ||
| 11/14/2024 | ||
| 02/26/2024 |
Red Flags
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