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Patrick O'brien

Ameriprise Financial Services, LLC
24 Years of Experience
Putnam, CT
2 DisclosuresBroker
View SEC Summary
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Patrick O'brien is a registered investment advisor at Ameriprise Financial Services, LLC, based in Putnam, CT, with 24 years of industry experience. Patrick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

50 Canal St, Putnam, CT, 06260

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
January 2016
Final Disposition
Customer Dispute
March 2013
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Patrick owns commercial and single-family real estate, and an LLC for purchasing a commercial building. He is also involved with a youth travel baseball program, serves as a trustee and on the executive committee for O'Brien, and is a silent partner in another business, dedicating a few hours per week to some of these activities.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2019 - Present · 6 yrs 11 mos
Ameriprise Financial Services, LLC
November 2019 - Present · 6 yrs 11 mos
Ameriprise Financial Services, LLCBroker
November 2019 - Present · 6 yrs 11 mos
Previous Registrations
Voya Financial Advisors, INC.
March 2012 - November 2019 · 7 yrs 8 mos
Voya Financial Advisors, INC.Broker
January 2011 - November 2019 · 8 yrs 10 mos
Ing Financial Advisers, LLCBroker
May 2006 - January 2011 · 4 yrs 8 mos
Tower Square Securities, INC.Broker
November 2003 - May 2006 · 2 yrs 6 mos
MML Investors Services, INC.Broker
June 2002 - November 2003 · 1 yr 5 mos
State Registrations31 states
ALAZCACOCTFLGAILMAMDMEMIMONCNHNJNVNYOHOKORPARISDTNTXUTVAVTWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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