David John Obrien
CFP®Professional Summary
David John Obrien, CFP®, who also goes by David John O'brien, is a registered financial advisor currently at EVOADVISORS located in Richmond, Virginia. David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. David has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Estate & Legacy Planning
- Retirement Planning
- Investment Management
- Education Funding
- Financial Planning
- Business Services
Biography
Dave is a CERTIFIED FINANCIAL PLANNER TM practitioner (CFP®) and received a BA and MBA from the University of Richmond and a Certificate in Financial Planning from Virginia Commonwealth University. Dave is often quoted in The New York Times, Bloomberg, MarketPlace, InvestmentNews and other publications regarding financial planning and is a frequent speaker at industry conferences. He actively participates in the Financial Planning Coalition’s efforts to protect the public through client-centered accountability and transparency. Dave...
Other Aliases
David John O'brien
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
Direct
(xxx) xxx-xxxx
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
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.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Credentials
Years of Experience
22 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
AVENIR ADVISERS | LEAHY & CLAIR FINANCIAL MANAGEMENT | EVOLUTION ADVISERS, INC. | EVOADVISORS | EVOADVISERS | CLAIR FINANCIAL MANAGEMENT
Contact Information
Main Address
2917 West Leigh Street, Richmond, VA 23230Phone Number
(804) 794-1981# of Employees
7SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
991AUM (Assets Under Management)
$337,176,397Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
AVENIR ADVISERS | LEAHY & CLAIR FINANCIAL MANAGEMENT | EVOLUTION ADVISERS, INC. | EVOADVISORS | EVOADVISERS | CLAIR FINANCIAL MANAGEMENT
State Registrations and Notice Filings
(4/18/2016)
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
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 Mar 2004About the Series 6 examSimilar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view David John Obrien's CRS (Customer Relationship Summary).
Services Offered by David
- Estate & Legacy Planning
- Retirement Planning
- Investment Management
- Education Funding
- Financial Planning
- Business Services
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
