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JO

Justin M. Obrien

ROOT FINANCIAL PARTNERS
Middletown, DE
Some features on this profile are disabled
CRD#: 7644965
JO

Professional summary

Justin Mark Obrien, who also goes by Justin Mark Obrien, is a registered financial advisor currently at ROOT FINANCIAL PARTNERS located in Middletown, Delaware.

Justin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Justin has worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Justin Mark 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Justin Mark 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

April 8, 2025 - Present

ROOT FINANCIAL PARTNERS

RIA
CRD#: 290289
Middletown, DE
Past

July 10, 2023 - February 24, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
GREENVILLE, DE
Past

June 15, 2023 - February 24, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
GREENVILLE, DE
Past

December 19, 2022 - February 2, 2023

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
St Robert, MO

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".
ROOT FINANCIAL PARTNERS
ROOT FINANCIAL PARTNERS
ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS

CRD#: 290289 / SEC#: 801-125945

RIA
Registered Investment Advisory firm - (7/8/2022 Approved)
California
Registered Investment Advisory firm - (8/11/2022 Terminated)
Texas
Registered Investment Advisory firm - (7/12/2022 Terminated)

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
California
(4/8/2025)
IAR
Delaware
(4/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/11/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/17/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/23/2024
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/2/2024
General Securities Sales Supervisor - General Module Examination

Current Firm

ROOT FINANCIAL PARTNERS
ROOT FINANCIAL PARTNERS
ROOT | ROOT FINANCIAL PARTNERS, LLC | ROOT FINANCIAL PARTNERS

CRD#: 290289 / SEC#: 801-125945

RIA
Registered Investment Advisory firm - (7/8/2022 Approved)
California
Registered Investment Advisory firm - (8/11/2022 Terminated)
Texas
Registered Investment Advisory firm - (7/12/2022 Terminated)
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Contact information

Main Address
1106 2nd Street Suite 102, Encinitas, CA 92024
Mailing Address
Phone number
(760) 452-0720
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (25 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

FORM ADV PART 2A (8/12/2025)

Regulatory assets under management

Total Number of Accounts2,597
AUM (Assets Under Management)$ 1,106,417,268

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

ROOT FINANCIAL PARTNERS

ROOT FINANCIAL PARTNERS

CRD#: 290289Middletown, DE

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