Daniel P. O'brien

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CRD#: 5765231

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Patrick O'brien, who also goes by Dan O'brien, Daniel O'brien, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan O'brien | Daniel 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.

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

October 20, 2011 - June 16, 2016

CORE FINANCIAL

RIA

CRD#: 155205

VENICE, CA

Past

May 24, 2010 - February 2, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODLAND HILLS, CA

Past

April 13, 2010 - February 2, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODLAND HILLS, 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".

CORE FINANCIAL

CORE FINANCIAL | WEST COAST FINANCIAL ADVISORY, LLC | CORE FINANCIAL PARTNERS INC.

CRD#: 155205 / SEC#: 801-100415

RIA

Registered Investment Advisory firm - (7/6/2015 Approved)

California

Registered Investment Advisory firm - (8/12/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

State Security Law Exam

IAR

Series 66

Date: 5/21/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/12/2010

General Securities Representative Examination

Current Firm

CORE FINANCIAL

CORE FINANCIAL | WEST COAST FINANCIAL ADVISORY, LLC | CORE FINANCIAL PARTNERS INC.

CRD#: 155205 / SEC#: 801-100415

RIA

Registered Investment Advisory firm - (7/6/2015 Approved)

California

Registered Investment Advisory firm - (8/12/2015 Terminated)

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Contact information

Main Address

222 N Pacific Coast Highway Ste 1900, El Segundo, CA 90245

Mailing Address

Phone number

(310) 450-6004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (3/25/2025)

ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	594
AUM (Assets Under Management)	$ 284,599,304

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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Daniel P. O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CORE FINANCIAL

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CORE FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2010

Series 7

Date: 4/12/2010

Current Firm

CORE FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORE FINANCIAL

TRUST BUT VERIFY

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