Matthew George Obrien | Financial Professional | Rocky Hill, Connecticut | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

Matthew George Obrien, who also goes by Matt G O'brien, is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Rocky Hill, Connecticut and FORTUNE FINANCIAL SERVICES, INC. located in Rocky Hill, Connecticut.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Matthew has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt G O'brien

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.

1)MATTHEW G. O'BRIEN AGENCY, THE O'BRIEN GROUP, 750 OLD MAIN STREET STE 201, ROCKY HILL, CT 06067: SOLE PROPRIETORSHIP, Rep is also registered with Prosperity Wealth Management as an IAR NATURE OF BUS: INSURANCE AGENCY/SERVICES, TITLE: PRINCIPAL, DUTIES: PROVIDE MGMT OF STAFF/CLIENT SERVICES, TIME SPENT: 60% COMPENSATION: SALARY, OWNER OF THE MATTHEW G OBRIEN AGENCY; NOT INVESTMENT RELATED; SAME ADDRESS; SALES AND SERVICE OF ANNUITY AND LIFE INSURANCE, AND LTC PRODUCTS; 40-60 HOURS PER MONTH. EMPLOYEE OF THE OBRIEN GROUP; INVESTMENT RELATED; SAME ADDRESS; PROVIDING CLIENT SERVICES OF EXISTING VARIABLE ANNUITY; VARIABLE LIFE INSURANCE, AND MUTUAL FUND PRODUCTS; 60-80 PER MONTH. OWNER OF THE OBRIEN GROUP INTERNATIONAL; NOT INVESTMENT RELATED ; SAME ADDRESS; OFFERING ANNUITY AND LIFE INSURANCE PRODUCTS IN US VIRGIN ISLANDS. 5-10 HOURS PER MONTH TRUSTEE OF THE MATTHEW G OBRIEN PROFIT SHARING PLAN; NOT INVESTMENT RELATED; 6 SIDE RAKE RD ROCKY HILL CT 06067 - MONITOR AND ADMINISTER DOL COMPLIANCE; NOTARY PUBLIC SINCE FEB 10, 1994 - NO COMPENSATION - NO TIME SPENT DURING TRADING HRS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew George 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

January 6, 2020 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

Office #1: 750 Old Main St. Suite 201, Rocky Hill, CT 06067

RIA

CRD#: 174328

Rocky Hill, CT

Current

May 1, 2017 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 750 Old Main Street Suite 201, Rocky Hill, CT 06067

BD

CRD#: 7708

CHICAGO, IL

Past

December 28, 1984 - October 24, 1988

INVESTORS BROKERAGE SERVICES, INC.

BD

CRD#: 4257

Past

October 10, 1978 - July 27, 1988

NORTH AMERICAN INVESTMENT CORP.

BD

CRD#: 7568

Past

March 28, 1978 - September 21, 1978

LEGEND CAPITAL CORPORATION

BD

CRD#: 4149

Past

April 21, 1977 - June 5, 1978

MARK SECURITIES, INC.

BD

CRD#: 555

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".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(5/1/2017)

RR

Colorado
(5/1/2017)

RR

Connecticut
(5/1/2017)

IAR

Connecticut
(1/6/2020)

RR

Florida
(5/1/2017)

RR

Massachusetts
(5/1/2017)

RR

Minnesota
(5/1/2017)

RR

New Hampshire
(5/1/2017)

RR

Vermont
(5/1/2017)

RR

West Virginia
(5/1/2017)

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. Note: This rule does not apply to broker-dealer activity.

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 791-4444

Established

Firm type

Fiscal year end

# of Employees

51

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,832
AUM (Assets Under Management)	$ 442,192,443

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew G. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew George Obrien's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA, INC.

PEB FINANCIAL GROUP, INC.

INVESTORS BROKERAGE SERVICES, INC.

NORTH AMERICAN INVESTMENT CORP.

LEGEND CAPITAL CORPORATION

MARK SECURITIES, INC.

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2004

Series 63

Date: 10/21/1991

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1977

Series 24

Date: 11/29/1988

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors