SO
Shawn W. O'brien
RIDGEWOOD, NJ
Some features on this profile are disabled
CRD#: 6002340
SO
Shawn William O'brien
Professional summary
Shawn William O'brien was a registered financial advisor .
Shawn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Shawn had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 79 and Series 7 exams.
At a Glance
Always Fiduciary
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.
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®
NoneExperience
Current
September 18, 2026 - Present
RIDGEWOOD, NJ
Past
December 21, 2011 - August 13, 2015
GORDIAN GROUP, LLC
BD
CRD#: 24034
NEW YORK, NY
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
New Jersey(9/18/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 79
Passed: 2/28/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
Current firm
No current employment
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.
