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JMO FINANCIAL
JAMES M. O'BRIEN, INC.
CRD 175086
2930 SAN BRISTO WAY, CARLSBAD, CA, 92009, United States
Phone
760-944-0774
Fax
—
Registration
— (—)
Source
State registered
Total AUM
$8.0M
Discretionary AUM
$8.0M
Team
1 total employees; 1 advisory reps; 8 broker-dealer reps
Clients
0
Fees
Percentage of AUM; Hourly charges; Fixed fees
Org form
Corporation
Filing date
2026-06-08
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Selection of other advisers
Client types
| Type | Clients | AUM |
|---|---|---|
| High net worth individuals | 5 | $7.0M |
All web addresses on file
Official SEC filing: View on IAPD