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Detailed Report
ANDREW ANTHONY OBRIEN
ANDREW A O'BRIEN, ANDREW ANTHONY O'BRIEN
CRD#: 4937924
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 4001 MACARTHUR BLVD
STE 300
NEWPORT BEACH, CA 92660
CETERA ADVISOR NETWORKS LLCCRD#: 13572 4001 MACARTHUR BLVD.
3RD FLOOR
NEWPORT BEACH, CA 92660
Registration History
200620082010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BSECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2013 - 2023 (10 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - 2013 (8 years)IASECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2019 - 2023 (4 years)
License(s)

State Registrations

B
California 8/10/2023
B
North Carolina 8/5/2024
IA
California 8/10/2023
B
Texas 8/5/2024
B
Minnesota 8/10/2023
IA
Texas 8/5/2024
B
Nevada 10/2/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
4001 MACARTHUR BLVD STE 300, NEWPORT BEACH, CA 92660
Registered with this firm since 8/10/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
4001 MACARTHUR BLVD. 3RD FLOOR, NEWPORT BEACH, CA 92660
Registered with this firm since 8/10/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/20/2019 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) NEWPORT BEACH, CA
B
 08/19/2013 - 08/10/2023 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) NEWPORT BEACH, CA
B
 06/07/2005 - 06/21/2013 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.