James O'brien

CRD#: 6457462

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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.

James O'brien was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2015. James had worked at 1 firm .

Question & Answer

Are you a "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.

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

May 14, 2015 - May 15, 2015

REGENCY INVESTMENT ADVISORS INC

RIA

CRD#: 106990

FRESNO, 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".

REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA

Registered Investment Advisory firm - (7/27/1993 Approved)

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

Current Firm

REGENCY INVESTMENT ADVISORS INC

CRD#: 106990 / SEC#: 801-44406

RIA

Registered Investment Advisory firm - (7/27/1993 Approved)

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Contact information

Main Address

1312 W Herndon, Suite 101, Fresno, CA 93711

Mailing Address

Phone number

(559) 438-2640

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,914
AUM (Assets Under Management)	$ 1,013,305,689

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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James O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REGENCY INVESTMENT ADVISORS INC

Primary Firm SEC Registration

REGENCY INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Current Firm

REGENCY INVESTMENT ADVISORS INC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REGENCY INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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