Francis Xavier Obrien

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:

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

Current Employers

Employment History

• 09/2016 → 05/2022
  American General Life Insurance
  Woodland Hilld, CA
• 09/2016 → 05/2022
  Aig Capital Services, Inc.
  Woodland Hills, CA
• 12/2023 → Present
  Lpl Financial Llc
  Oradell, NJ
• 06/2022 → 09/2022
  Unemployed
  Freehold, NJ
• 10/2022 → 05/2023
  Hightower Securities, Llc
  Chicago, IL
• 06/2023 → 11/2023
  Unemployed
  Freehold, NJ

Other Businesses

1) 12/2023- Cassa Wealth Management / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent

Exams

• S66 Uniform Combined State Law Examination
  2023-06-14
• S63 Uniform Securities Agent State Law Examination
  1993-02-04

Other Names

• Frank Obrien