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Joseph Del Principe

Del Principe O'BRien Financial Advisors

Indianapolis, IN

CRD 6469264

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Employer firm

Del Principe O'bRien Financial Advisors CRD 174935

$35.0M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Del Principe O'BRien Financial Advisors

3815 River Crossing Parkway, Suite 100, Indianapolis, IN 46240 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2015-03-30
  • IN RA
    APPROVED
    Since 2015-03-30

Branch Locations

3815 River Crossing Parkway, Suite 100, Indianapolis, IN 46240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-23
  • S65 Uniform Investment Adviser Law Examination
    2014-12-23

View on SEC IAPD

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