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Kevin Thomas O'Brien

Wells Fargo Clearing Services, LLC

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About Kevin Thomas O'Brien

Kevin O'Brien is an investment advisor representative with Wells Fargo Clearing Services, LLC. Kevin has been in the securities industry since October 1988. Kevin's experience includes working with various financial institutions such as Raymond James Financial Services, Inc., Wells Fargo Advisors Financial Network, LLC, Wachovia Securities, LLC, Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., and Hibbard Brown & Co., Inc. Kevin holds a Series 63, Series 65, Series 7, Series 9, and Series 10 license. Kevin has been registered with Wells Fargo Clearing Services, LLC since December 2019. Kevin is a registered investment advisor in Massachusetts and Rhode Island.

Firm Information

Kevin O'Brien is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your 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.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

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

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Kevin O'Brien’s Registration & Firm History

MA

12/12/2019 - Present

Wells Fargo Clearing Services, LLC (NORWELL MA)

MA

06/27/2014 - 12/13/2019

RAYMOND JAMES FINANCIAL SERVICES, INC. (ROCKLAND MA)

MA

04/04/2008 - 06/30/2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (HINGHAM MA)

MO

07/01/2003 - 04/04/2008

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

03/07/1997 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/31/1993 - 03/27/1997

SMITH BARNEY INC. (NEW YORK NY)

NY

01/31/1989 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

09/20/1988 - 01/05/1989

HIBBARD BROWN & CO., INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/24/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/06/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/07/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/04/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/17/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kevin Thomas O'Brien.
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