James Obrien
James Obrien is a registered investment advisor at Jmo Financial, based in Carlsbad, CA, with 29 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 5 clients with $8.3M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Fee is negotiable, especially if the client has multiple accounts within the household.
Fee Estimator
Location
2121 Palomar Airport Road, Suite 210, Carlsbad, CA, 92011
Get directionsHistory
Regulatory History (5)
Regulatory
December 2012Customer Dispute
June 2012Customer Dispute
October 2011Customer Dispute
October 2011Employment Separation After Allegations
March 2011Other Business ActivitiesSells Insurance
James is a real estate broker, dedicating about 10-20% of his time to this activity. He also offers fixed annuities and life insurance, which takes nearly full-time hours. Finally, James works as an independent contractor for Axos Bank, assisting individuals with opening accounts, which requires minimal time.
Employment History
Current Registrations
Jmo Financial
Previous Registrations
Liberty Partners Capital Management, LLC
Liberty Partners Financial Services, LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Multi-Financial Securities CorporationBroker
Pim Financial Services, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.