Thaddeus Mark Obrien

Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• PORTFOLIO ASSESSMENT

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

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

Current Employers

Employment History

• 05/1994 → 06/2020
  Commonwealth Equity Services, Inc.
  Darien, CT
• 05/1994 → 06/2020
  Soundview Financial Associates
  Darien, SC
• 04/2026 → Present
  Fisher Investments
  Tampa, FL
• 06/2020 → 04/2026
  Clearwater Point 4 Condominium Association
  Clearwater, FL

Previous Registrations

• 1995-03-22 → 2018-09-28
  Commonwealth Financial Network
  Darien, CT
  Mount Pleasant, SC
  Stratford, CT
  Darien, CT
  Clearwater, FL

Other Businesses

Clearwater Point 4 Condominium Association, not investment related, Clearwater Beach, FL, board member, start date of 05/01/2021, 4 hours per month, 0 hours during securities trading hours, participate in one board meeting monthly and review/respond to 2-3 inter-board emails weekly

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-04-10
• S63 Uniform Securities Agent State Law Examination
  1985-05-02

Other Names

• Thad Obrien