President, Chief Compliance Officer · O'brien Investment Management, LLC
Michael D. O'Brien
CRD 1296751 · Named on Form ADV at one SEC-registered adviser
At a glance
O'brien Investment Management, LLC, an SEC-registered wealth manager based in Torrance, CA with $254 million in regulatory assets, lists Michael D. O'Brien on its Form ADV as President, Chief Compliance Officer, a control person.
Firms and roles
- O'brien Investment Management, LLCPresident, Chief Compliance OfficerWealth manager · Torrance, CA · $254M in regulatory assets
AtlasMembers
Michael’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2008 (17 years)
- Designations
- Chartered Financial Analyst
- Exams
- Series 63
- Registered in
- 3 states
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
Michael’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- John S. O'BrienPartner, O'brien Investment Management, LLC
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Michael’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.