Kevin H. O Brien

CETERA INVESTMENT ADVISERS LLC

WARREN, NJ 07059

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CRD#: 2904484

Professional summary

Kevin H O Brien, who also goes by Kevin Hugh O Brien, Kevin Hugh O'brien, Kevin Hugh Obrien, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warren, New Jersey and CETERA WEALTH SERVICES, LLC located in Mountainside, New Jersey.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kevin has worked at 7 firms and has passed the Series 66, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Hugh O Brien | Kevin Hugh O'brien | Kevin Hugh 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY AND ANNUITIES 2. NAME OF OTHER BUSINESS: THE O'BRIEN GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 07/2019 POSITION/TITLE/RELATIONSHIP: FINANCIAL REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL REPRESENTATIVE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin H 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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 45 Mountain Blvd Suite 2, Warren, NJ 07059

RIA

CRD#: 105644

WARREN, NJ

Current

July 24, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 608 Sherwood Parkway 2c, Mountainside, NJ 07092

CRD#: 13572

Mountainside, NJ

Past

July 26, 2019 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

August 20, 2008 - August 8, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

CRANFORD, NJ

Past

August 19, 2008 - August 8, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

CRANFORD, NJ

Past

November 1, 2005 - December 3, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

October 4, 2004 - November 2, 2005

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 5, 2002 - October 11, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 3, 2002 - June 7, 2002

SAFDIE INVESTMENT SERVICES CORP.

CRD#: 104199

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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
(1/18/2022)

Connecticut
(7/29/2019)

Florida
(7/12/2021)

New Jersey
(7/29/2019)

IAR

New Jersey
(6/29/2023)

New York
(7/29/2019)

Pennsylvania
(7/30/2019)

South Carolina
(8/5/2019)

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 66

Date: 10/12/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/21/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/2/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Kevin H. O Brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin H O Brien's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

HSBC SECURITIES (USA) INC.

LEHMAN BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

SAFDIE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2002

SIE

Date: 10/1/2018

Series 55

Date: 4/21/2007

Series 7

Date: 4/2/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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