Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Xavier Obrien is a financial advisor with over 27 years of experience in the financial services industry. Francis currently works for LPL Financial LLC. Before joining LPL Financial LLC, Francis worked at several other firms including Hightower Securities, LLC, AIG Capital Services, Inc., Crossroads Capital Distributors, LLC, KBS Capital Markets Group LLC, Sun Life Financial Distributors, Inc., MML Investors Services, Inc., and Wall Street Investor Services. Francis holds several licenses and certifications including Series 6, Series 7, Series 63, Series 66, and Series 79TO. Francis specializes in providing financial planning, portfolio management, and investment advisory services to individuals, families, 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Consulting and other non-discretionary advisory services
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
NJ
12/05/2023 - Present
LPL Financial LLC (PARAMUS NJ)
IL
10/14/2022 - 05/18/2023
HIGHTOWER SECURITIES, LLC (CHICAGO IL)
NJ
09/06/2016 - 05/17/2022
AIG CAPITAL SERVICES, INC. (JERSEY CITY NJ)
CA
02/16/2015 - 08/31/2016
CROSSROADS CAPITAL DISTRIBUTORS, LLC (NEWPORT BEACH CA)
CA
09/15/2009 - 03/04/2014
KBS CAPITAL MARKETS GROUP LLC (NEWPORT BEACH CA)
MA
07/25/1997 - 09/01/2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
MA
08/12/1994 - 05/30/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
03/09/1993 - 03/16/1994
WALL STREET INVESTOR SERVICES (NEW YORK NY)
BOTH
Issued 06/14/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/05/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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