Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames O'Brien is a financial professional with over 20 years of experience in the industry. James is currently registered with Robert W. Baird & Co. Inc. in Tysons, Virginia. Previously, James worked with FBR CAPITAL MARKETS & CO. in Arlington, Virginia and UBS SECURITIES LLC in New York, New York. James holds Series 7, 24, 63, 79TO and SIE licenses and is registered in Virginia and the District of Columbia. James is also a general securities principal and specializes in providing financial advice and investment management services to a wide range of clients, including individuals, corporations, institutions, and investment companies.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
VA
10/21/2011 - Present
Robert W. Baird & Co. Inc. (Tysons VA)
VA
07/18/2006 - 10/31/2011
FBR CAPITAL MARKETS & CO. (ARLINGTON VA)
NY
09/10/2002 - 07/03/2006
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 08/10/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/2010
Series 24 - General Securities Principal 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 09/09/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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