Jack S. Obrien

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CRD#: 350394

Professional summary

Jack Stuart Obrien JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jack is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Jack had worked at 17 firms, which includes PRINCIPAL SECURITIES INC., NYLIFE SECURITIES LLC, AMERITAS INVESTMENT COMPANY LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, VOYA FINANCIAL ADVISORS INC., SUNSET FINANCIAL SERVICES INC., CANADA LIFE OF AMERICA FINANCIAL SERVICES INC., OSAIC FS INC., CERTIFIED EQUITIES INCORPORATED, THE SAXON GROUP INC., ELDER-NELSON EQUITIES CORPORATION, TOWER SQUARE SECURITIES INC., USLIFE EQUITY SALES CORP., PACIFIC SELECT DISTRIBUTORS LLC, LINSCO FINANCIAL GROUP INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Jack Stuart O'brien Jr | John Stuart O'brien Jr

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

January 18, 2005 - May 20, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SAN JOSE, CA

Past

August 21, 2003 - February 4, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

August 14, 2002 - June 26, 2003

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

August 8, 2001 - May 22, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 8, 2001 - May 22, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

December 21, 1999 - August 1, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

June 12, 1998 - December 22, 1999

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 24, 1997 - June 18, 1998

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

September 18, 1996 - September 4, 1997

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

CRD#: 24220

GREENWOOD VILLAGE, CO

Past

March 26, 1992 - May 23, 1996

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

December 15, 1989 - April 4, 1992

CERTIFIED EQUITIES INCORPORATED

CRD#: 15257

Past

November 13, 1986 - December 16, 1987

THE SAXON GROUP, INC.

CRD#: 17611

Past

June 23, 1986 - November 26, 1986

ELDER-NELSON EQUITIES CORPORATION

CRD#: 13403

Past

March 14, 1984 - January 22, 1986

ELDER-NELSON EQUITIES CORPORATION

CRD#: 13403

Past

January 20, 1983 - December 22, 1983

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

December 13, 1979 - August 4, 1982

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

May 17, 1977 - March 22, 1979

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

Past

March 13, 1974 - November 18, 1975

NYLIFE SECURITIES LLC

CRD#: 5167

Past

July 2, 1973 - June 17, 1974

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

October 16, 1972 - July 21, 1973

NYLIFE SECURITIES LLC

CRD#: 5167

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".

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

General Industry/Product Exam

SIE

Date: 5/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/11/1972

Registered Representative Examination

Current Firm

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

711 High Street, Des Moines, IA 50392

Mailing Address

Principal Financial Group 711 High Street, Des Moines, IA 50392-2080

Phone number

(888) 774-6267

Established

Iowa since 05/01/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,436

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (9/15/2025)

RETIREMENT PLAN CONSULTING (9/15/2025)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (9/15/2025)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (9/15/2025)

Direct owners and executive officers

Name	Position	CRD#
PRINCIPAL FINANCIAL SERVICES, INC.	OWNER
AGRAWAL, VIVEK	DIRECTOR	8050381
CLAIRE, CHAD THOMAS	CHIEF INFORMATION OFFICER	7219218
DROGAN, THOMAS JOHN	CHIEF COMPLIANCE OFFICER	2760482
FRIEDRICH, AMY CHRISTINE	DIRECTOR	7097797
LAWLER, CODY ANTHONY	HEAD OF SUPERVISION, HEAD OF OPERATIONS	5162072
MCCULLUM, KENNETH ALLEN	DIRECTOR	4695257
MURRAY, MICHAEL FRANCIS	PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR	2074275
RANTS, DOUGLAS JOHN	CHIEF INFORMATION SECURITY OFFICER	7148529
ROBERTS, DAWN MARIE	CHIEF FINANCIAL OFFICER	7929617
SCHELHAAS, NATHAN PAUL	DIRECTOR	7275495
SPADAFORA, CRAIG ALAN	SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM	3184320
VANWINKLE, DANIEL SIMON	PSI AML OFFICER	4715191

Regulatory assets under management

Total Number of Accounts	63,730
AUM (Assets Under Management)	$ 14,827,718,110

Disclosures

Regulatory Event	9
Arbitration	3
Bond	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	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.

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Firm Stability Insights

Jack S. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

AMERITAS INVESTMENT COMPANY, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

SUNSET FINANCIAL SERVICES, INC.

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

OSAIC FS, INC.

CERTIFIED EQUITIES INCORPORATED

THE SAXON GROUP, INC.

ELDER-NELSON EQUITIES CORPORATION

ELDER-NELSON EQUITIES CORPORATION

TOWER SQUARE SECURITIES, INC.

USLIFE EQUITY SALES CORP.

PACIFIC SELECT DISTRIBUTORS, LLC

NYLIFE SECURITIES LLC

LINSCO FINANCIAL GROUP, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 5/20/2015

Series 1

Date: 10/11/1972

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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