Unclaimed Profile

Samuel B O'brien

CAPITAL VIEW WEALTH MANAGEMENT, LLC·DES MOINES, Iowa

Series 7, Series 63Clean record27 years registeredCAPITAL VIEW WEALTH MANAGEMENT, LLC

801 GRAND AVENUE, DES MOINES, IA 50309CRD# 853866Firm CRD# 126653

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Samuel B O'brien · DES MOINES, IA

Registration

CRD #853866 · CAPITAL VIEW WEALTH MANAGEMENT, LLC · 27 years registered

Brand Profile

Not yet started

Career History

CAPITAL VIEW WEALTH MANAGEMENT, LLC

May 2003 – present

UBS FINANCIAL SERVICES INC.

Jan 1999 – Jun 2003

DES MOINES, IA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Registration record

First registered · January 1, 1999

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPITAL VIEW WEALTH MANAGEMENT, LLC

CRD 126653 · SEC 801-62003

AUM

$112M

Regulatory assets under management

Employees

67 client accounts

Services offered by CAPITAL VIEW WEALTH MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at CAPITAL VIEW WEALTH MANAGEMENT, LLC →

Introduction

Speak with Samuel

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Samuel is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in DES MOINES?

Browse all registered financial advisors in DES MOINES, Iowa or claim this profile if it's yours.

Browse DES MOINES Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Samuel B O'brien offer?

Samuel B O'brien specializes in Investment Management. Contact their office in DES MOINES, Iowa for a consultation.

What are Samuel B O'brien's credentials?

Samuel B O'brien is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Samuel B O'brien located?

Samuel B O'brien is based in DES MOINES, Iowa, working with CAPITAL VIEW WEALTH MANAGEMENT, LLC. Their office serves clients in the DES MOINES metropolitan area and surrounding communities.

How does Samuel B O'brien charge for services?

Samuel B O'brien's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CAPITAL VIEW WEALTH MANAGEMENT, LLC?

CAPITAL VIEW WEALTH MANAGEMENT, LLC has approximately 1 employees and manages $112M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →