JO
James P. Obrien
KRILOGY
St. Louis, MO 63141
Some features on this profile are disabled
CRD#: 4964213
JO
Professional summary
James Patrick Obrien, CFP®, who also goes by James Patrick O'brien Jr., James Patrick O'brien, is a registered financial advisor currently at KRILOGY located in St. Louis, Missouri.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Patrick O'brien Jr. | James Patrick O'brien
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.)Hillcrest Advisors, LLC, investment related, 1623 High School Drive, St. Louis, MO 63144, 1% ownership interest in Krilogy Financial, LLC, Krilogy Capital Management Partners, LLC, Krilogy Capital Management, LLC, Krilogy Tax Services, and receipt of compensation from conducting advisory business through Krilogy Financial, Start date 1/4/16, 0 hrS/MO per month during trading and non-trading hours. 2.) Krilogy Capital Management Partners LLC., investment related, 3622 Lyckan Pkwy Ste 3004-B Durham, NC 27707, General Partner for KCM TAX-ADVANTAGED TOTAL RETURN BOND FUND, LP, general partner, 10/1/17, 8 hours per month, 5 hours per month during trading hours, Ownership interest. 3.) Krilogy Capital Management LLC, investment related, 3622 Lyckan Pkwy Ste 3004-B Durham, NC 27707, INVESTMENT MANAGER FOR KCM TAX-ADVANTAGED TOTAL RETURN BOND FUND, LP , Owner, 10/1/17, 0 hours per month, 0 hours per month during trading hours, Ownership interest. 4.) Krilogy Tax Services, LLC, non-investment related, 275 N. Lindbergh, Suite 20, St. Louis, MO 63141, Tax preparation and planning services, Owner, 1/1/18, 0 hours per month, 0 hours per month during trading hours, 1% Ownership interest. 7.) Krilogy Capital Management Partners II, LLC., investment related, 275 N. Lindbergh, Suite 20, Saint Louis, MO 63141, General Partner for KCM Catapult Large Cap Growth Equity Fund, LP, general partner, Corporate Structure set up September 9, 2017, $ hours per month, 1 hours per month during trade hours, Ownership interest. 8.) Krilogy Capital Management II, LLC, investment related, 275 N. Lindbergh, Suite 20, Saint Louis, MO 63141, Investment Manager for KCM Catapult Large Cap Growth Equity Fund, LP, Owner, Ownership structure set up September 9, 2017, 4 hours per month, 1 hours per month during trading hours, Ownership interest.
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Obrien's 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®
CFP®
Start date: 2010
Experience
Current
January 14, 2009 - Present
KRILOGY
Office #1: 275 N. Lindbergh Ste. 20, St. Louis, MO 63141RIA
CRD#: 149046
St. Louis, MO
Past
January 5, 2011 - November 15, 2011
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
ST. LOUIS, MO
Past
January 11, 2010 - December 31, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SAINT LOUIS, MO
Past
June 18, 2009 - December 31, 2009
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ST LOUIS, MO
Past
January 29, 2009 - December 31, 2009
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ST LOUIS, MO
Past
July 8, 2005 - January 8, 2009
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST. LOUIS, MO
Past
June 20, 2005 - January 8, 2009
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. LOUIS, MO
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".
KR
KRILOGY
GSG ADVISORS LLC | NAME 605 | KRILOGY TEXAS | KRILOGY FINANCIAL LLC | KRILOGY ADVISORS LLC | KRILOGY | KPS | K PLANS | GSTLG ADVISORS LLC
CRD#: 149046 / SEC#: 801-69838
RIA
Registered Investment Advisory firm - (1/12/2009 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.Highlighted states indicate IAR registrations
IAR
Missouri(1/14/2009)
IAR
Texas(6/19/2017)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
KR
KRILOGY
GSG ADVISORS LLC | NAME 605 | KRILOGY TEXAS | KRILOGY FINANCIAL LLC | KRILOGY ADVISORS LLC | KRILOGY | KPS | K PLANS | GSTLG ADVISORS LLC
CRD#: 149046 / SEC#: 801-69838
RIA
Registered Investment Advisory firm - (1/12/2009 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
275 N. Lindbergh Ste. 20, St. Louis, MO 63141
Mailing Address
Phone number
(314) 884-2800
Established
Firm type
Fiscal year end
# of Employees
82
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,780 |
| AUM (Assets Under Management) | $ 4,954,332,013 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 02/27/2025 | ||
| 10/12/2023 | ||
| 01/03/2023 |
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.
Company Information
KRILOGY
CRD#: 149046St. Louis, MO 63141TRUST BUT VERIFY
Monitor James Obrien
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
