James Patrick 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

• 05/2016 → 08/2017
  J.P. Morgan Securities Llc
  Willowbrook, IL
• 09/2017 → Present
  Lpl Financial, Llc
  Orland Park, IL

Previous Registrations

• 2016-05-12 → 2017-08-30
  J.P. Morgan Securities Llc
  Willowbrook, IL
  Hinsdale, IL
• 2005-12-06 → 2006-01-24
  Clearbridge Investments, Llc
  New York, NY
• 2005-05-24 → 2005-12-21
  Citigroup Global Markets Inc.
  Stamford, CT

Other Businesses

1. 9/7/17 - JAEOB, LLC - Investment Related - Home Based - BUSINESS ENTITY FOR TAX, INVESTMENT PURPOSES ONLY - Started 9/6/17 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - Entity was created to protect personal assets. 2. 10/3/17 - Wisconsin Financial Group, Inc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Insurance Agent - Started 9/25/17 - 1 Hour Per Month During Securities Trading. 3. 1/17/20 - High Point Planning Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/13/20 - 160 Hours Per Month During Securities Trading. 4. 2/7/22 - JPB Management - Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Director of Family Office - Start Date: 3/1/22 - 40 Hours Per Month/40 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2016-05-19
• S65 Uniform Investment Adviser Law Examination
  2005-05-20
• S63 Uniform Securities Agent State Law Examination
  1996-06-06