Edward D. Obrien
Professional summary
Edward D Obrien, who also goes by Edward D O'brien, Edward D. O'brien, Edward Daniel O'brien, Edward Daniel Obrien, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1992. Edward has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Edward D Obrien's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2026 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245June 26, 2026 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245June 26, 2026 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245June 26, 2026 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 8, 2022 - January 14, 2026
NATIONAL FINANCIAL SERVICES LLC
December 8, 2022 - January 14, 2026
FIDELITY PRIME FINANCING
December 8, 2022 - January 14, 2026
FIDELITY DISTRIBUTORS COMPANY LLC
December 8, 2022 - January 14, 2026
DIGITAL BROKERAGE SERVICES LLC
June 13, 2022 - January 14, 2026
FIDELITY BROKERAGE SERVICES LLC
January 6, 2014 - April 12, 2016
NATIONAL FINANCIAL SERVICES LLC
October 27, 2004 - November 3, 2009
STRATEGIC ADVISERS LLC
October 18, 2004 - April 7, 2016
FIDELITY BROKERAGE SERVICES LLC
October 23, 1992 - May 5, 1999
FIDELITY BROKERAGE SERVICES LLC
July 27, 1992 - October 8, 1992
FIDELITY DISTRIBUTORS CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
