Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn J Obrien is an investment advisor representative with Principal Asset Management in Chicago, IL. John has been in the industry since 2007. John holds a Series 3, 7, 24, 63, and 66 license. John is also registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. John specializes in providing investment advice for high-net-worth individuals, businesses, investment companies, and pooled investment vehicles. John's prior experience includes roles at Principal Securities, Inc., and DWS Investments Distributors, Inc.
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.
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.
Spread lending management and advice; asset allocation services; providing model portfolios
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.
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.
Charge on a cost allocation basis to principal life
1
2
IL
02/18/2022 - Present
Principal Asset Management (Chicago IL)
IL
01/12/2011 - 12/26/2018
PRINCIPAL SECURITIES, INC. (DOWNERS GROVE IL)
IL
09/22/2006 - 08/25/2010
DWS INVESTMENTS DISTRIBUTORS, INC (CHICAGO IL)
IL
10/06/2007 - 05/12/2008
DEAM INVESTOR SERVICES, INC. (CHICAGO IL)
BOTH
Issued 02/17/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/14/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2008
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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