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Neal Michael O'BRien

Edward Jones

Mendota, IL

CRD 1424891

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Employer firm

Edward Jones CRD 250

$1.01T regulatory AUM 28,751 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-01-09
IL RA APPROVED 2006-11-28
  • TX RA
    APPROVED_RES
    Since 2019-01-09
  • IL RA
    APPROVED
    Since 2006-11-28

Branch Locations

609 Main Street Suite A, Mendota, IL 61342 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward D. Jones & Co., L.P. Mendota IL 04/1985 Present
  • 04/1985 → Present
    Edward D. Jones & Co., L.P.
    Mendota, IL
Other Businesses

Self Type of business: Rental property MENDOTA, IL Start date: 8/15/2005 Owner Hours per week: 0 Hours during trading: 0 Maintain property.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-24
S63 Uniform Securities Agent State Law Examination 1985-12-02
  • S66 Uniform Combined State Law Examination
    2006-11-24
  • S63 Uniform Securities Agent State Law Examination
    1985-12-02
Other Names
  • Neal Michael Obrien

View on SEC IAPD

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