Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Obrien is a financial advisor registered with LPL Financial LLC in Orland Park, Illinois. James has been in the financial services industry since April 16, 1996. Prior to joining LPL Financial LLC, James was a financial advisor at J.P. MORGAN SECURITIES LLC and Lincoln Financial Distributors, Inc. James holds the Series 6, 7, 24, 63, 65 and 66 securities licenses. James also has experience in financial planning and investment management.
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.
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2
IL
09/07/2017 - Present
LPL Financial LLC (ORLAND PARK IL)
IL
05/11/2016 - 08/30/2017
J.P. MORGAN SECURITIES LLC (HINSDALE IL)
PA
05/28/2014 - 05/06/2016
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NJ
01/26/2009 - 05/08/2014
AXA DISTRIBUTORS, LLC (JERSEY CITY NJ)
CA
01/30/2006 - 01/20/2009
PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)
CA
12/01/2005 - 01/24/2006
LEGG MASON INVESTOR SERVICES, LLC (SAN MATEO CA)
NY
12/19/2003 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IL
03/08/1996 - 01/02/2004
SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)
BOTH
Issued 05/19/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/20/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2003
Series 7 - General Securities Representative Examination
BC
Issued 03/07/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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