Phillip O'brien, financial advisor Andover MA
81 score

Phillip O'brien

CRD Number: 5572302
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Phillip O'brien (CRD# 5572302) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Andover, MA and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Andover, MA Jul 2014 - Current 2
Bank Of America N.a. Andover, MA Jul 2014 - Current 2
Fidelity Investments Merrimack, NH Jul 2010 - Jun 2014 3
Bay Copy Rockland, MA Oct 2009 - Jun 2010 < 1
Mangia Group Canton, MA Jan 2009 - Oct 2009 < 1
Northwestern Mutual Investment Services, LLC Quincy, MA Aug 2008 - Dec 2008 < 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Jul 2008 - Dec 2008 < 1
Bridgewater State College Bridgewater, MA Jul 2003 - Dec 2008 5
Outback Steakhouse Randolph, MA Jun 2007 - Jul 2008 1
Castaways Bar And Grill Bridgewater, MA Jan 2007 - Jun 2007 < 1
Kansai University Suita-shi, Osaka, Jul 2006 - Dec 2006 < 1
New England Schooner Peabody, MA May 2006 - Sep 2006 < 1
Campus Pizza Bridgewater, MA Sep 2004 - Aug 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2010
S66 NASAA Uniform Combined State Law Examination Jul 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Phillip A. O'brien
Phone Number: 800-637-7455
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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