Steven O'brien, financial advisor Oak Brook IL
71 score

Steven O'brien

CRD Number: 1024861
Current Firm: Wells Fargo Advisors, LLC

Steven O'brien (CRD# 1024861) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Oak Brook, IL and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors, LLC Oak Brook, IL May 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - May 2015 < 1
Morgan Stanley Smith Barney Oakbrook Terrace, IL Jun 2009 - May 2015 5
Citigroup Global Markets Inc. Oakbrook Terrace, IL Feb 2000 - Jun 2009 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1982
S65 NASAA Investment Advisors Law Examination Nov 1994
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:
  • Customer Dispute
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for Steven F. O'brien
Phone Number: 314-875-3000
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
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 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, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
71

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