JO
John L. Obrien
WESTMINSTER FINANCIAL ADVISORY CORP
Brookfield, CT 06804
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CRD#: 2238455
JO
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
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.
1)ADVANCED FINANCIAL ADVISORS LLC., 2 OLD NEW MILFORD ROAD SUITE 3F, BROOOKFIELD, CT 06804 CATEGORY INSURANCE, INVESTMENT-RELATED. YES TITLE: AGENT START DATE: 12/2003 DUTIES: OFFERS ACCIDENET/HEALTH INSURANCE, DISABILITY INSURANCE, FIXED/INDXED ANNUITES, LONG-TERM CARE INSURANCE AND TRADITIONAL LIFE INSURANCE PRODUCTS. HOURS PER MONTH:1 HOURS PER MONTH DURING TRADING HOURS: 1
CRS (Client Relationship Summary) - RIA
Click below to view John Lane 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®
NoneExperience
Current
September 17, 2018 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 2 Old New Milford Road Ste 3f, Brookfield, CT 06804RIA
CRD#: 110283
Brookfield, CT
Current
September 12, 2018 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 2 Old New Milford Road Ste 3f, Brookfield, CT 06804BD
CRD#: 20677
Brookfield, CT
Past
January 2, 2004 - July 18, 2018
OSAIC FA, INC.
RIA
CRD#: 3978
BROOOKFIELD, CT
Past
December 11, 2003 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 11, 2003 - July 18, 2018
OSAIC FA, INC.
BD
CRD#: 3978
BROOOKFIELD, CT
Past
August 15, 1995 - December 19, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
GLASTONBURY, CT
Past
May 15, 1992 - December 19, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)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(10/10/2018)
IAR
Arizona(10/10/2018)
RR
California(4/25/2019)
IAR
California(4/25/2019)
RR
Connecticut(9/13/2018)
IAR
Connecticut(9/17/2018)
RR
Florida(2/21/2019)
IAR
Florida(2/21/2019)
RR
Georgia(1/2/2019)
IAR
Georgia(1/2/2019)
RR
Maryland(1/23/2019)
IAR
Maryland(2/21/2019)
RR
New York(10/15/2018)
IAR
New York(8/13/2021)
RR
North Carolina(7/5/2019)
IAR
North Carolina(8/7/2019)
RR
South Carolina(12/4/2018)
IAR
South Carolina(12/4/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
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 |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283Brookfield, CT 06804TRUST BUT VERIFY
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