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Thomas C. O'brien
FIRST TRUST ADVISORS LP
AUSTIN, TX 78701
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CRD#: 6518020
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Professional summary
Thomas C O'brien, who also goes by Thomas O'brien, Thomas Obrien, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Austin, Texas and FIRST TRUST PORTFOLIOS L.P. located in Austin, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas O'brien | Thomas Obrien
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) - RIA
Click below to view Thomas C O'brien's 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®
NoneExperience
Current
July 2, 2024 - Present
FIRST TRUST ADVISORS LP
Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701RIA
CRD#: 107027
AUSTIN, TX
Current
July 2, 2024 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: Ibc Building 500 West 5th Street 8th Floor, Austin, TX, 78701BD
CRD#: 28519
Austin, TX
Past
September 4, 2022 - July 2, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Austin, TX
Past
August 3, 2022 - July 2, 2024
MORGAN STANLEY
BD
CRD#: 149777
Austin, TX
Past
August 22, 2018 - July 5, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BOSTON, MA
Past
November 2, 2017 - December 22, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
FT
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
RIA
Registered Investment Advisory firm - (10/4/1991 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/19/2024)
RR
Alaska(12/23/2024)
RR
Arizona(1/8/2025)
RR
Arkansas(12/23/2024)
RR
California(12/19/2024)
RR
Colorado(1/3/2025)
RR
Connecticut(12/19/2024)
RR
Delaware(12/19/2024)
RR
District of Columbia(12/24/2024)
RR
Florida(12/20/2024)
IAR
Florida(1/27/2025)
RR
Georgia(12/20/2024)
RR
Idaho(12/19/2024)
RR
Illinois(7/2/2024)
IAR
Illinois(7/8/2024)
RR
Indiana(1/6/2025)
RR
Iowa(1/3/2025)
RR
Kansas(12/19/2024)
RR
Kentucky(12/23/2024)
RR
Louisiana(12/19/2024)
RR
Maine(12/23/2024)
RR
Maryland(4/2/2025)
IAR
Massachusetts(1/31/2025)
RR
Massachusetts(2/3/2025)
RR
Michigan(12/23/2024)
RR
Minnesota(12/19/2024)
RR
Mississippi(1/3/2025)
RR
Missouri(12/19/2024)
RR
Montana(12/23/2024)
RR
Nebraska(1/17/2025)
RR
Nevada(12/23/2024)
RR
New Hampshire(1/2/2025)
RR
New Jersey(12/19/2024)
RR
New Mexico(12/20/2024)
RR
New York(12/19/2024)
RR
North Carolina(12/19/2024)
RR
North Dakota(12/23/2024)
RR
Ohio(1/7/2025)
RR
Oklahoma(12/23/2024)
RR
Oregon(4/13/2025)
RR
Pennsylvania(12/20/2024)
RR
Puerto Rico(12/23/2024)
RR
Rhode Island(12/20/2024)
RR
South Carolina(12/19/2024)
RR
South Dakota(12/19/2024)
RR
Tennessee(12/19/2024)
RR
Texas(7/2/2024)
IAR
Texas(7/2/2024)
RR
Utah(1/17/2025)
RR
Vermont(12/19/2024)
RR
Virginia(12/19/2024)
RR
Washington(1/28/2025)
RR
West Virginia(12/19/2024)
RR
Wisconsin(12/19/2024)
RR
Wyoming(12/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FT
FIRST TRUST ADVISORS LP
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
RIA
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Contact information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187
Mailing Address
Phone number
(630) 765-8000
Established
Firm type
Fiscal year end
# of Employees
520
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
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.
