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Michael Richard O'BRien

LPl Financial LLC

Little Rock, AR

CRD 6613901

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2025-01-01
TX RA APPROVED_RES 2022-05-12
  • AR RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2022-05-12

Branch Locations

5507 Ranch Drive Ste 104-B, Little Rock, AR 72223 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St. Louis MO 02/2016 03/2022
Lpl Financial Llc Maumelle AR 05/2022 Present
Previous Registrations
  • 2016-06-10 → 2022-03-25
    Maumelle, AR
    St Louis, MO
    Little Rock, AR
    Maumelle, AR
Other Businesses

1)05/09/2022 - MRO Entertainment LLC - Business Entity for Tax/Investment Purposes - Non-Inv Rel - Maumelle, AR - Start: 09/2021 - 15 Hr/Mth 2)2/14/2023 - MRO Affluent Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 02/01/2023 - 160 Hours Per Month/160 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-19
  • S66 Uniform Combined State Law Examination
    2016-04-19
Other Names
  • Michael Richard Obrien

View on SEC IAPD

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