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Edward Ignatious Obrien

Sophis Investments LLC

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About Edward Ignatious Obrien

Edward Ignatious Obrien is an investment advisor representative currently working with Sophis Investments LLC. Edward has been in the industry for over 40 years, and has experience at several other firms such as Alexander Capital, L.P. and Guggenheim Securities, LLC. Edward is also a principal of the firm Edward Obrien LLC. Edward is licensed in Connecticut and has passed Series 7, Series 24, Series 52TO, Series 53 and Series 63 exams.

Firm Information

Edward Obrien is currently registered with Sophis Investments LLC. Sophis Investments LLC is an investment advisor registered with the SEC. They are headquartered in New York, NY and have a total of 5 investment adviser representatives. They manage approximately $138 million in assets for 95 clients, primarily high-net-worth individuals, corporations, and individuals other than high-net-worth. Sophis Investments LLC provides portfolio management services for individuals, businesses, and pooled investment vehicles.
Sophis Investments LLC

250 PARK AVENUE

NEW YORK, NY 10177-0799

$138.08M

Assets Under Management

Not reported

Total Clients

5

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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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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percentage of assets

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

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Edward Obrien’s Registration & Firm History

NY

10/31/2017 - Present

Sophis Investments LLC (NEW YORK NY)

NY

03/26/2015 - 04/12/2021

ALEXANDER CAPITAL, L.P. (NEW YORK NY)

NY

08/04/2010 - 04/23/2013

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

07/09/2002 - 04/21/2009

KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)

CT

07/06/2000 - 07/18/2002

ADVEST, INC. (HARTFORD CT)

NY

08/19/1981 - 03/09/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/16/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/22/2008

Series 53 - Municipal Securities Principal Examination

BC

Issued 03/24/1997

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Edward Ignatious Obrien.
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