Walter J. O'brien
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.
Walter J. O'brien, who also goes by Jim O'brien Jr, Jim O'brien, W James O'brien Jr, W James Obrien, Walter James Obrien Jr, Walter James Obrien, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1997. Walter had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2014 - April 10, 2025
WESTSIDE INVESTMENT MANAGEMENT, LLC
April 23, 2014 - April 11, 2025
LPL FINANCIAL LLC
October 6, 2005 - April 24, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 8, 2005 - April 24, 2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 18, 1998 - August 29, 2005
MORGAN STANLEY DW INC.
October 20, 1997 - August 29, 2005
MORGAN STANLEY DW INC.
June 11, 1997 - September 12, 1997
IDS LIFE INSURANCE COMPANY
June 11, 1997 - September 12, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WESTSIDE INVESTMENT MANAGEMENT, LLC
CRD#: 154522 / SEC#: 801-71762
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WESTSIDE INVESTMENT MANAGEMENT, LLC
CRD#: 154522 / SEC#: 801-71762
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,339 |
| AUM (Assets Under Management) | $ 774,187,696 |
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.
