Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Middleton O'Brien is a financial advisor who has been working in the financial industry since 2007. Mark is currently registered with LPL Financial LLC and Commonwealth Financial Network. Mark has a diverse set of licenses and qualifications, including Series 66, Series 7 and SIE exams. Mark is a registered investment advisor in California and Texas, and also holds licenses in several other states. Mark provides financial planning services, portfolio management for businesses and individuals, pension consulting, and other advisory services. Mark has been with Commonwealth Financial Network since 2019, and LPL Financial LLC since 2024.
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
CA
08/20/2024 - Present
LPL Financial LLC (SAN RAMON CA)
CA
07/02/2010 - 06/25/2019
THE STRATEGIC FINANCIAL ALLIANCE, INC. (LARKSPUR CA)
CA
10/15/2007 - 07/02/2010
EDWARD JONES (LARKSPUR CA)
BOTH
Issued 10/26/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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