David Christopher O'brien
CFP®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,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave O'brien, David Christopher Obrien, David Obrien
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
ASSET STRATEGY ADVISORS, LLC | CHARLES RIVER RETIREMENT CONSULTANTS, INC. | ASSET STRATEGY RETIREMENT CONSULTANTS, LLC | ASSET STRATEGY CONSULTANTS-BOSTON
Contact Information
Main Address
14 West Plain St. Suite 201, Wayland, MA 01778-4470Phone Number
(781) 235-4426# of Employees
10SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
504AUM (Assets Under Management)
$649,260,559Similar Advisors
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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.
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Primary Firm SEC Registration
ASSET STRATEGY ADVISORS, LLC | CHARLES RIVER RETIREMENT CONSULTANTS, INC. | ASSET STRATEGY RETIREMENT CONSULTANTS, LLC | ASSET STRATEGY CONSULTANTS-BOSTON
State Registrations and Notice Filings
(5/10/2022)
(12/18/2019)
(8/20/2019)
(8/28/2019)
(11/15/2023)
(4/30/2021)
(7/20/2020)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1996About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Christopher O'brien's CRS (Customer Relationship Summary).
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