David C. O'brien

ASSET STRATEGY ADVISORS

Natick, MA 01760-1535

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CRD#: 2722690

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 Natick, Massachusetts and CONCORDE INVESTMENT SERVICES, LLC located in Natick, 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.

1) Asset Strategy Advisors, Investment related, Natick, MA. DBA for securities, insurance and Investment Advisory activities. Start date, August 2019. Full time during trading hours. 2) Asset Strategy Financial Group, DBA for securities, insurance, and investment related activities. Registered Representative, Insurance Agent and Senior Consultant. Start date, August 2019. Full time during trading hours.

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: 24 Superior Drive Suite 101, Natick, MA 01760-1535

RIA

CRD#: 139879

Natick, MA

Current

August 20, 2019 - Present

CONCORDE INVESTMENT SERVICES, LLC

Office #1: 24 Superior Dr. Suite 101, Natick, MA 01760

CRD#: 151604

Natick, MA

Past

August 2, 2016 - August 20, 2019

MORGAN STANLEY

RIA

CRD#: 149777

WESTBOROUGH, MA

Past

August 2, 2016 - August 20, 2019

MORGAN STANLEY

CRD#: 149777

WESTBOROUGH, MA

Past

March 21, 2011 - April 4, 2016

ALLSPRING FUNDS DISTRIBUTOR, LLC

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

CRD#: 19616

ST. LOUIS, MO

Past

October 26, 2006 - August 15, 2007

PACIFIC CORNERSTONE CAPITAL INCORPORATED

CRD#: 40397

SANTA ANA, CA

Past

January 21, 2003 - September 12, 2006

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

July 24, 2001 - January 4, 2002

CONSECO EQUITY SALES, INC.

CRD#: 4125

CARMEL, IN

Past

December 21, 1998 - May 16, 2001

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

June 20, 1996 - February 24, 1997

NYLIFE SECURITIES LLC

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".

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.

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

California
(5/10/2022)

Florida
(12/18/2019)

Massachusetts
(8/20/2019)

IAR

Massachusetts
(8/28/2019)

New Hampshire
(11/15/2023)

New York
(4/30/2021)

South Carolina
(7/20/2020)

Texas
(9/6/2023)

Washington
(9/18/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/17/2016

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/7/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/19/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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

SEC notice filing (12 States and Territories)

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 Accounts	544
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.

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Advisor Monitoring

Firm Stability Insights

David C. O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

ALLSPRING FUNDS DISTRIBUTOR, LLC

ALLSPRING FUNDS MANAGEMENT, LLC

FOXHALL CAPITAL MANAGEMENT, INC.

WELLS FARGO CLEARING SERVICES, LLC

PACIFIC CORNERSTONE CAPITAL INCORPORATED

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CONSECO EQUITY SALES, INC.

AMUNDI DISTRIBUTOR US, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

ASSET STRATEGY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2016

Series 63

Date: 6/5/1996

SIE

Date: 10/1/2018

Series 31

Date: 8/17/2016

Series 7

Date: 1/7/1999

Series 6

Date: 6/19/1996

FINRA

Current Firm

ASSET STRATEGY ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET STRATEGY ADVISORS, LLC

TRUST BUT VERIFY

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