Samuel B. O'brien

CAPITAL VIEW WEALTH MANAGEMENT

Des Moines, IA

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CRD#: 853866

Professional summary

Samuel B O'brien, who also goes by Samuel Brenton Obrien, is a registered financial advisor currently at CAPITAL VIEW WEALTH MANAGEMENT, LLC located in Des Moines, Iowa.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Samuel has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Samuel Brenton 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 Samuel B O'brien'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

May 19, 2003 - Present

CAPITAL VIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 126653

Des Moines, IA

Past

January 1, 1999 - June 26, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DES MOINES, IA

Past

June 25, 1990 - June 26, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 26, 1978 - December 23, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

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".

CAPITAL VIEW WEALTH MANAGEMENT, LLC

CRD#: 126653 / SEC#: 801-62003

RIA

Registered Investment Advisory firm - (5/1/2003 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.

Highlighted states indicate IAR registrations

IAR

Iowa
(5/19/2003)

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

State Security Law Exam

Series 63

Date: 6/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/1990

General Securities Representative Examination

Current Firm

CAPITAL VIEW WEALTH MANAGEMENT, LLC

CRD#: 126653 / SEC#: 801-62003

RIA

Registered Investment Advisory firm - (5/1/2003 Approved)

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Contact information

Main Address

Des Moines, IA

Mailing Address

Phone number

(515) 238-3737

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL VIEW WEALTH MANAGEMENT, LLC ADV BROCHURE (2/26/2025)

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 126,075,000

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.

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Samuel B. O'brien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel B O'brien's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL VIEW WEALTH MANAGEMENT, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CAPITAL VIEW WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1990

Series 7

Date: 6/21/1990

Current Firm

CAPITAL VIEW WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL VIEW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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