Todd Patrick Obrien
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
TRANSCEND ADVISOR GROUP, LLC
Contact Information
Main Address
311 E Chicago Street Suite 210, Milwaukee, WI 53202Mailing Address
1500 Main Street, Union Grove, WI 53182Phone Number
(262) 884-9983# of Employees
5SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
799AUM (Assets Under Management)
$253,195,518Similar Advisors
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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.
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Primary Firm SEC Registration
TRANSCEND ADVISOR GROUP, LLC
State Registrations and Notice Filings
(3/22/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2012About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Todd Patrick Obrien's CRS (Customer Relationship Summary).
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