Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam O'Brien is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Adam has been in the industry since August 2009 and is currently registered with the firm in Alabama and Texas. Adam has worked with Wells Fargo Clearing Services, LLC in the past, which he left in December 2020. Adam has passed the Series 6, 7, 63 and 66 exams and is currently registered in 27 states. Adam O'Brien's specialties include providing portfolio management services for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
11/30/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DOTHAN AL)
AL
09/01/2009 - 12/08/2020
WELLS FARGO CLEARING SERVICES, LLC (DOTHAN AL)
BOTH
Issued 03/27/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2012
Series 7 - General Securities Representative Examination
BC
Issued 08/31/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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