John O'Brien


Phone: 310-383-5677



John is married to his wife Dora for 30 years, they have 3 children and one grand child Joan who just arrived on July 23, 2020.  Dora recently retired as an executive from Fossil Inc, a watch and accessories company and now enjoying her life selling real estate.  Sean is 26 and he works in for a Financial technology company based out of San Francisco, Jessica is a sales Specialist at Bloomingdales, but Her passion is Karate and she has earned her Black Belt.  Brett is a director at Blackrock, which is a large money management company and lives in New York City with her Husband Alex and their daughter Joan.

John lives in Pacific Palisades in a home purchased in 1998.  John entered the securities industry at the ripe young age of 40.  He had a successful career as a manufacturers rep selling to Department Stores in the 80's and early 90”s but seeing the consolidation in that industry he was hired by Prudential Securities in 1995.  Smiling now as I write this john was the rookie of the year and his efforts at Prudential Securities launched his career.  John went independent in 2002 and opened an office for Raymond James on Second and Wilshire Blvd. 

In 2005 John acquired the Broker Dealer Penates Group Inc. based out of Scottsdale AZ.  And also acquired Otto Capital Management, an SEC registered RIA in the same transaction.   As President and CEO of Penates – Otto Capital Management John managed client portfolio's on a discretionary basis.

John joined LPL in March of 2020, as time passed and the securities industry involved regulation became the main topic of every business day and the joy he found managing money for his clients was overwhelmed by the regulatory hurdles of running a Broker Dealer and an RIA.

Since joining LPL in March of 2020, John has been quite impressed by the Client Centric Posture which rules the culture of LPL.  LPL is the 7th largest money manager in the United States and with 17,000 Brokers to take care of it was important to make sure their technology platform was second to none.

John has passes numerous examinations in the securities industry including

  • 4- Registered Options Principal
  • 7 – General Securities Exam
  • 9- General Supervisor
  • 10-General Supervisor
  • 23- General Securities Principal
  • 27-Financial Operations Principal
  • 53- Municipal Securities Principal
  • 63-Securities Law
  • 65-Advisor Law

*Securities registrations held through LPL Financial.

John is active in sports, a member of Riviera Country Club since 1988 golf is his second favorite sport. Never having quite lost the Basketball Jones, he has a court outside his office and tends to shoot around most every day.  He enjoys the Southern California lifestyle and often find himself at the beach swimming or riding his bike along the paths and trails.