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David Christopher O'brien

David C. O'brien

ASSET STRATEGY ADVISORS
WAYLAND, MA 01778-4470
Some features on this profile are disabled
CRD#: 2722690
David Christopher O'brien

Professional summary

David Christopher O'brien, CFP®, who also goes by Dave O'brien, David Christopher Obrien, David Obrien, is a registered financial advisor currently at ASSET STRATEGY ADVISORS, LLC located in Wayland, Massachusetts and CONCORDE INVESTMENT SERVICES, LLC located in Wayland, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dave O'brien | David Christopher Obrien | David Obrien

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Christopher O'brien's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2007

Experience

Current

August 28, 2019 - Present

ASSET STRATEGY ADVISORS, LLC

Office #1: 14 West Plain St. Suite 201, Wayland, MA 01778-4470
RIA
CRD#: 139879
WAYLAND, MA
Current

August 20, 2019 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 14 W Plain St., Wayland, MA 01778
BD
CRD#: 151604
Wayland, MA
Past

August 2, 2016 - August 20, 2019

MORGAN STANLEY

RIA
CRD#: 149777
WESTBOROUGH, MA
Past

August 2, 2016 - August 20, 2019

MORGAN STANLEY

BD
CRD#: 149777
WESTBOROUGH, MA
Past

March 21, 2011 - April 4, 2016

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
BOSTON, MA
Past

March 18, 2011 - April 4, 2016

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
BOSTON, MA
Past

August 10, 2010 - March 14, 2011

FOXHALL CAPITAL MANAGEMENT, INC.

RIA
CRD#: 104866
MIDDLEBURG, VA
Past

August 8, 2008 - October 22, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 26, 2006 - August 15, 2007

PACIFIC CORNERSTONE CAPITAL INCORPORATED

BD
CRD#: 40397
SANTA ANA, CA
Past

January 21, 2003 - September 12, 2006

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

July 24, 2001 - January 4, 2002

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN
Past

December 21, 1998 - May 16, 2001

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

June 20, 1996 - February 24, 1997

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

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".
AS
ASSET STRATEGY ADVISORS, LLC
ASSET STRATEGY ADVISORS, LLC | CHARLES RIVER RETIREMENT CONSULTANTS, INC. | ASSET STRATEGY RETIREMENT CONSULTANTS, LLC | ASSET STRATEGY CONSULTANTS-BOSTON

CRD#: 139879 / SEC#: 801-66549

RIA
Registered Investment Advisory firm - (5/15/2006 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
California
(5/10/2022)
RR
Florida
(12/18/2019)
RR
Massachusetts
(8/20/2019)
IAR
Massachusetts
(8/28/2019)
RR
New Hampshire
(11/15/2023)
RR
New York
(4/30/2021)
RR
South Carolina
(7/20/2020)
RR
Washington
(9/18/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/9/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/5/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/17/2016
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/19/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ASSET STRATEGY ADVISORS, LLC
ASSET STRATEGY ADVISORS, LLC | CHARLES RIVER RETIREMENT CONSULTANTS, INC. | ASSET STRATEGY RETIREMENT CONSULTANTS, LLC | ASSET STRATEGY CONSULTANTS-BOSTON

CRD#: 139879 / SEC#: 801-66549

RIA
Registered Investment Advisory firm - (5/15/2006 Approved)
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Contact information

Main Address
24 Superior Drive Suite 101, Natick, MA 01760-1535
Mailing Address
Phone number
(781) 235-4426
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025-ASSET STRATEGY ADVISORS BROCHURE 030125 (3/2/2025)

Regulatory assets under management

Total Number of Accounts544
AUM (Assets Under Management)$ 917,771,097

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

ASSET STRATEGY ADVISORS, LLC

CRD#: 139879Wayland, MA 01778-4470

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