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Todd P. Obrien

TRANSCEND ADVISOR GROUP
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 6129630
TO

Professional summary

Todd Patrick Obrien is a registered financial advisor currently at TRANSCEND ADVISOR GROUP, LLC located in Milwaukee, Wisconsin.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Todd has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

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.
Mr. O'Brien has the following Outside Business Activities. He is an independent insurance agent for Transcend Insurance Group in which he sells insurance products including annuities. He spends approximately 10 hours a week during market and non-market hours on this endeavor. Bookkeeper, tax preparation for Expert Tax Solutions, 80 hours a month during non-market hours. Property Manager through OBS Property Services. Manages rental property. Spends approximately 10 hours a month in this activity

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Patrick Obrien'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®
None

Experience

Current

March 22, 2021 - Present

TRANSCEND ADVISOR GROUP, LLC

Office #1: 311 E Chicago Street Suite 210, Milwaukee, WI 53202
RIA
CRD#: 311746
Milwaukee, WI
Past

February 18, 2020 - March 23, 2021

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
MT PLEASANT, WI
Past

January 29, 2020 - March 23, 2021

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
MT PLEASANT, WI

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".
TA
TRANSCEND ADVISOR GROUP, LLC
TRANSCEND ADVISOR GROUP, LLC

CRD#: 311746 / SEC#: 801-120108

RIA
Registered Investment Advisory firm - (3/2/2021 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
Wisconsin
(3/22/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/27/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/23/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TA
TRANSCEND ADVISOR GROUP, LLC
TRANSCEND ADVISOR GROUP, LLC

CRD#: 311746 / SEC#: 801-120108

RIA
Registered Investment Advisory firm - (3/2/2021 Approved)
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Contact information

Main Address
311 E Chicago Street Suite 210, Milwaukee, WI 53202
Mailing Address
1500 Main Street, Union Grove, WI 53182
Phone number
(262) 884-9983
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2A BROCHURE TRANSCEND 8.25 (8/19/2025)
2B BROCHURE EICHNER 8.25 (8/19/2025)
2B BROCHURE CLAUSSEN 9.24 (3/14/2025)
2B BROCHURE RAUSCH 10.23V1 (3/14/2025)
2B BROCHURE JAMIESON 03.23 (3/14/2025)
2B BROCHURE OBRIEN 4.24 (3/14/2025)

Regulatory assets under management

Total Number of Accounts764
AUM (Assets Under Management)$ 206,601,562

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

TRANSCEND ADVISOR GROUP, LLC

CRD#: 311746Milwaukee, WI 53202

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