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Denis Michael O'Brien

Independent Financial Group, LLC

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About Denis Michael O'Brien

Denis Michael O'Brien is a financial advisor with Independent Financial Group, LLC, located in Mystic, CT. Denis has over 40 years of experience in the financial services industry. Denis is a Registered Representative and Investment Advisor Representative, holding licenses in multiple states. He is a member of FINRA and is registered with the Securities and Exchange Commission (SEC). Denis specializes in financial planning, portfolio management, and retirement planning for individuals, businesses, and pension plans. He also provides advisory services to charitable organizations.

Firm Information

Denis O'Brien is currently registered with Independent Financial Group, LLC. Independent Financial Group, LLC is a limited liability company formed in July 2001 and headquartered in San Diego, California. The firm offers financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They manage approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension plans. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
Independent Financial Group, LLC

12671 HIGH BLUFF DR

SAN DIEGO, CA 92130

$6.75B

Assets Under Management

270

Total Clients

524

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Denis O'Brien’s Registration & Firm History

CT

02/28/2014 - Present

Independent Financial Group, LLC (MYSTIC CT)

CT

10/25/2013 - 11/18/2013

RAYMOND JAMES FINANCIAL SERVICES, INC. (MYSTIC CT)

CT

06/01/2009 - 10/29/2013

MORGAN STANLEY (MYSTIC CT)

CT

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (MYSTIC CT)

CT

08/27/2004 - 04/02/2007

MORGAN STANLEY DW INC. (MYSTIC CT)

CT

01/20/1986 - 09/17/2004

ADVEST, INC. (HARTFORD CT)

NA

06/04/1982 - 01/28/1986

OPPENHEIMER & CO., INC.

NA

09/25/1980 - 06/03/1982

HANAUER, STERN & CO.

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Licenses & Designations

IA

Issued 01/31/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/02/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/10/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/22/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2006

Series 31 - Futures Managed Funds Examination

BC

Issued 09/20/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Denis Michael O'Brien. Review regulatory record here.
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