Thomas O'brien is a registered investment advisor, based in Austin, TX, with 7 years of industry experience.
Location
Ibc Building, 500 West 5th Street, 8th Floor, Austin, TX, 78701
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
First Trust Advisors LP
July 2024 - Present · 2 yrs 2 mos
First Trust Portfolios L.P.Broker
July 2024 - Present · 2 yrs 2 mos
Previous Registrations
Morgan Stanley
September 2022 - July 2024 · 1 yr 10 mos
Morgan StanleyBroker
August 2022 - July 2024 · 1 yr 11 mos
Wells Fargo Clearing Services, LLCBroker
August 2018 - July 2022 · 3 yrs 11 mos
UBS Financial Services INC.Broker
November 2017 - December 2017 · 1 mo
State Registrations51 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.