Tom O'brien

VANTAGE WEALTH MANAGEMENT

SAN MATEO, CA 94402

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CRD#: 5529111

Professional summary

Tom O'brien, CFP® is a registered financial advisor currently at VANTAGE WEALTH MANAGEMENT, LLC located in San Mateo, California.

Tom is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Tom has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Tom 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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

July 17, 2020 - Present

VANTAGE WEALTH MANAGEMENT, LLC

Office #1: 66 Bovet Road Ste. 310, San Mateo, CA 94402

RIA

CRD#: 152374

SAN MATEO, CA

Past

July 21, 2008 - August 11, 2020

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

SAN MATEO, CA

Past

June 23, 2008 - August 11, 2020

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN MATEO, CA

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".

VANTAGE WEALTH MANAGEMENT, LLC

CRD#: 152374 / SEC#: 801-70921

RIA

Registered Investment Advisory firm - (1/4/2010 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

California
(7/17/2020)

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

State Security Law Exam

IAR

Series 66

Date: 7/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2008

General Securities Representative Examination

Current Firm

VANTAGE WEALTH MANAGEMENT, LLC

CRD#: 152374 / SEC#: 801-70921

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

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Contact information

Main Address

66 Bovet Road Ste. 310, San Mateo, CA 94402

Mailing Address

Phone number

(650) 638-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VANTAGE WEALTH MANAGEMENT INVESTMENT ADVISORY SERVICES (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,751
AUM (Assets Under Management)	$ 897,418,075

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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Tom O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tom O'brien's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANTAGE WEALTH MANAGEMENT, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

VANTAGE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2008

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2008

Current Firm

VANTAGE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANTAGE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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