Shane A. Obrien

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CRD#: 2785186

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Shane Allen Obrien, who also goes by Shane A O'brien, Shane A Obrien, was a registered financial professional .

Shane is a previously registered financial professional and started their career in finance in 1997. Shane had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 7, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shane A O'brien | Shane A 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 2, 2024 - April 17, 2025

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

PLANO, TX

Past

September 18, 2024 - September 24, 2024

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Addison, TX

Past

September 18, 2024 - September 24, 2024

AW SECURITIES

CRD#: 103747

FOLSOM, CA

Past

October 21, 2021 - May 15, 2024

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

ADDISON, TX

Past

July 5, 2007 - April 6, 2020

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Past

September 26, 2006 - March 7, 2007

RAA WEALTH MANAGEMENT, LLC

RIA

CRD#: 141526

DALLAS, TX

Past

September 18, 1998 - October 2, 2006

RETIREMENT ADVISORS OF AMERICA

RIA

CRD#: 106968

DALLAS, TX

Past

February 18, 1997 - August 20, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/10/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/10/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/3/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/14/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/10/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 4/10/2024

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/27/2007

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

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Contact information

Main Address

2400 Dallas Parkway Ste 100, Plano, TX 75093

Mailing Address

Phone number

(800) 513-3243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (10/2/2025)

Regulatory assets under management

Total Number of Accounts	567
AUM (Assets Under Management)	$ 100,382,397

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

Shane A. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLWORTH FINANCIAL, L.P.

AW SECURITIES

ALLWORTH FINANCIAL, L.P.

FIDELITY DISTRIBUTORS COMPANY LLC

RAA WEALTH MANAGEMENT, LLC

RETIREMENT ADVISORS OF AMERICA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PEAK AMERICAN INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2021

Series 63

Date: 9/21/2007

Series 7TO

Date: 4/10/2024

SIE

Date: 4/10/2024

Series 6

Date: 7/3/2007

Series 7

Date: 2/14/1997

Series 24

Date: 4/10/2024

Series 51

Date: 4/10/2024

Series 26

Date: 8/27/2007

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK AMERICAN INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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