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Kristen Leanne O'BRien

Corda Investment Management, LLC

Broomfield, CO

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Current Employers
Corda Investment Management, Llc

8955 Katy Freeway Suite 200, Houston, TX 77024-1626 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-09
TX RA APPROVED_RES 2025-01-09
  • CO RA
    APPROVED
    Since 2025-01-09
  • TX RA
    APPROVED_RES
    Since 2025-01-09

Branch Locations

390 Interlocken Crescent #350, Broomfield, CO 80021 • 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
Employment History
OrganizationCityStateFromTo
Mercer Global Advisors Inc. Denver CO 07/2023 Present
Charles Schwab Bank And Charles Schwab & Co. Carmel IN 05/2015 05/2018
Charles Schwab & Co. Cincinnati OH 05/2018 06/2023
  • 07/2023 → Present
    Mercer Global Advisors Inc.
    Denver, CO
  • 05/2015 → 05/2018
    Charles Schwab Bank And Charles Schwab & Co.
    Carmel, IN
  • 05/2018 → 06/2023
    Charles Schwab & Co.
    Cincinnati, OH
Previous Registrations
  • 2023-07-31 → 2024-11-12
    Mercer Global Advisors Inc.
    Denver, CO
    Denver, CO
  • 2014-09-26 → 2023-06-26
    Charles Schwab & Co., Inc.
    Oak Brook, IL
    Carmel, IN
    Indianapolis, IN
    Cincinnati, OH
    Novi, MI
    Vienna, VA
  • 2021-07-27 → 2022-10-14
    Td Ameritrade, Inc.
    Cincinnati, OH
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-26
S63 Uniform Securities Agent State Law Examination 1993-12-31
  • S66 Uniform Combined State Law Examination
    2014-09-26
  • S63 Uniform Securities Agent State Law Examination
    1993-12-31
Other Names
  • Kristen L Rollin
  • Kristen Leanne Obrien

View on SEC IAPD

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