James M. Obrien
Professional summary
James Michael Obrien, who also goes by James O'brien, Jay O'brien, Jay Obrien, is a registered financial advisor currently at JMO FINANCIAL located in Carlsbad, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Obrien's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2015 - Present
JMO FINANCIAL
Office #1: 2121 Palomar Airport Road Suite 210, Carlsbad, CA 92011October 25, 2012 - September 9, 2013
MODERN CAPITAL ADVISORS, LLC
April 1, 2011 - August 20, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
July 16, 2002 - April 18, 2011
LPL FINANCIAL LLC
May 21, 2002 - April 18, 2011
LPL FINANCIAL LLC
October 4, 1999 - May 21, 2002
CETERA ADVISORS LLC
August 26, 1994 - October 4, 1999
PIM FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/29/2015)
Exams
Current Firm
JMO FINANCIAL
CRD#: 175086 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 8,270,269 |
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.
