JO
John J. Obrien
PRINCIPAL ASSET MANAGEMENT
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5170733
JO
Professional summary
John J Obrien, who also goes by John J O'brien, John Joseph Obrien, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Chicago, Illinois and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Chicago, Illinois.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John J O'brien | John Joseph 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.
Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates.
CRS (Client Relationship Summary) - RIA
Click below to view John J 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®
NoneExperience
Current
February 18, 2022 - Present
PRINCIPAL ASSET MANAGEMENT
Office #1: One North Wacker Drive, Chicago, IL 60606RIA
CRD#: 109002
Chicago, IL
Current
January 12, 2011 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: One North Wacker Drive Suite 3900, Chicago, IL 60606BD
CRD#: 43261
Chicago, IL
Past
January 12, 2011 - December 26, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DOWNERS GROVE, IL
Past
October 6, 2007 - May 12, 2008
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
CHICAGO, IL
Past
September 22, 2006 - August 25, 2010
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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".
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 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.RR
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
RR
Alabama(1/12/2011)
RR
Alaska(1/12/2011)
RR
Arizona(1/12/2011)
RR
Arkansas(1/12/2011)
RR
California(1/12/2011)
RR
Colorado(1/12/2011)
RR
Connecticut(1/12/2011)
RR
Delaware(1/12/2011)
RR
District of Columbia(1/12/2011)
RR
Florida(1/12/2011)
RR
Georgia(1/12/2011)
RR
Hawaii(1/12/2011)
RR
Idaho(1/12/2011)
RR
Illinois(1/12/2011)
IAR
Illinois(2/18/2022)
RR
Indiana(1/12/2011)
RR
Iowa(1/12/2011)
RR
Kansas(1/12/2011)
RR
Kentucky(1/12/2011)
RR
Louisiana(1/12/2011)
RR
Maine(1/12/2011)
RR
Maryland(1/12/2011)
RR
Massachusetts(1/12/2011)
RR
Michigan(1/12/2011)
RR
Minnesota(1/12/2011)
RR
Mississippi(1/12/2011)
RR
Missouri(1/12/2011)
RR
Montana(1/12/2011)
RR
Nebraska(1/12/2011)
RR
Nevada(1/12/2011)
RR
New Hampshire(1/12/2011)
RR
New Jersey(1/12/2011)
RR
New Mexico(1/12/2011)
RR
New York(1/12/2011)
RR
North Carolina(1/12/2011)
RR
North Dakota(1/12/2011)
RR
Ohio(1/12/2011)
RR
Oklahoma(1/12/2011)
RR
Oregon(1/12/2011)
RR
Pennsylvania(1/12/2011)
RR
Puerto Rico(2/22/2011)
RR
Rhode Island(1/12/2011)
RR
South Carolina(1/12/2011)
RR
South Dakota(1/12/2011)
RR
Tennessee(1/12/2011)
RR
Texas(1/12/2011)
RR
Utah(1/12/2011)
RR
Vermont(1/12/2011)
RR
Virginia(1/12/2011)
RR
Washington(1/12/2011)
RR
West Virginia(1/12/2011)
RR
Wisconsin(1/12/2011)
RR
Wyoming(1/12/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ASSET MANAGEMENT
ALIGNED INVESTORS | QUALITY CORE INVESTORS | PRINCIPAL PORTFOLIO STRATEGIES | PRINCIPAL ORIGIN | PRINCIPAL MORLEY | PRINCIPAL INVESTMENT SOLUTIONS | PRINCIPAL GLOBAL INVESTORS, LLC | PRINCIPAL GLOBAL INVESTORS | PRINCIPAL GLOBAL FIXED INCOME | PRINCIPAL GLOBAL EQUITIES | PRINCIPAL GLOBAL ASSET ALLOCATION STRATEGIES | PRINCIPAL GLOBAL ADVISORS | PRINCIPAL FIXED INCOME | PRINCIPAL FINISTERRE | PRINCIPAL FINANCIAL ADVISORS | PRINCIPAL EQUITIES | PRINCIPAL EDGE | PRINCIPAL DYNAMIC GROWTH | PRINCIPAL CLARITAS | PRINCIPAL CAPITAL MANAGEMENT LLC | PRINCIPAL CAPITAL | PRINCIPAL ASSET MANAGEMENT | PRINCIPAL ASSET ALLOCATION | PRINCIPAL ALTERNATIVE CREDIT | PRINCIPAL ALIGNED | MULTI-ASSET ADVISORS | MORLEY CAPITAL MANAGEMENT | MACRO CURRENCY GROUP | EDGE ASSET MANAGEMENT | COLUMBUS CIRCLE INVESTORS
CRD#: 109002 / SEC#: 801-55959
RIA
Registered Investment Advisory firm - (10/26/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
801 Grand Ave, Des Moines, IA 50392-0001
Mailing Address
711 High Street, Des Moines, IA 50392-0001
Phone number
(800) 787-1621
Established
Firm type
Fiscal year end
# of Employees
1,350
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,399 |
| AUM (Assets Under Management) | $ 364,035,359,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/28/2023 | ||
| 12/20/2022 |
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.
