William Aloysious O'BRien

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 03/2017
  Metlife Securities Inc.
  Princeton, NJ
• 03/2017 → 07/2020
  Mml Investors Services, Llc
  Princeton, NJ
• 07/2016 → Present
  Massmutual Life Insurance Co
  Princeton, NJ
• 07/2020 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2017-03-25 → 2020-07-02
  Mml Investors Services, Llc
  Princeton, NJ
• 2015-01-02 → 2017-03-25
  Msi Financial Services, Inc.
  Princeton, NJ
• 2011-04-14 → 2015-01-02
  New England Securities
  Princeton, NJ
  Manasquan, NJ

Other Businesses

INSURANCE AND ANNUITIES POSITION: Licensed Insurance/Annuities Agent NATURE: Any and all Life Insurance/Disability/Long term care and Specific Annuities. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 07/01/2020 ADDRESS: 65 Madison Avenue, Suite 200, Morristown, NJ, Morristown NJ 07960, United States DESCRIPTION: Recommend and sell Life/Disability/LTC and specific Annuities for each client that has a need for it. CREATIVE RISK MANAGEMENT, LLC POSITION: Licensed Insurance agent NATURE: Property and casualty INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 08/14/2012 ADDRESS: 1305 Campus Parkway, Wall Twp NJ 07753, United States DESCRIPTION: Property and Casualty Strategic Wealth Resource Group POSITION: Financial Professional NATURE: Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 07/01/2020 ADDRESS: 1028 US Highway 206 S., Unit 2, Bordentown, 08505, United States DESCRIPTION: Securities DBA

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-03-17
• S63 Uniform Securities Agent State Law Examination
  2004-07-09