Tim O’Brien: $107K Complaint Against TK Financial Advisor

A recent investor complaint against Colorado Springs, Colorado financial advisor Tim O’Brien (CRD# 5798481) reached a settlement of more than $100,000. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Ausdal Financial Partners, doing business as TK Financial Services.

Mr. O’Brien’s BrokerCheck report discloses two investor complaints. The most recent, filed in January 2026, alleges that as a representative of InterVest International Equities Corporation, he acted negligently, breached his fiduciary duty, liquidated and distributed assets without authorization, and breached contract. The complaint reached a settlement of $107,121.

An earlier investor complaint, filed in 2024, alleged breach of fiduciary duty, negligence, breach of contract, made unsuitable investment recommendations, and violated industry laws and rules in connection with the sale of GWG L bonds. The complaint reached a settlement of $21,000.

In a statement included with the complaint’s disclosure, Mr. O’Brien wrote that he was “erroneously named in this matter” because of his position as CCO at the firm in question. “However, I was not the CCO at the time the products were sold to the investors and I was not involved in the sale (or the approval of) these product to the investors,” he stated. “In belated recognition of these facts and given my complete lack of involvement, counsel for the investors voluntarily dismissed the claims against me with no monetary contribution on my part.”

According to the Financial Industry Regulatory Authority, Tim O’Brien holds 14 years of securities industry experience. Based in Colorado Springs, Colorado, he has been registered as a broker and an investment advisor with Ausdal Financial Partners since 2024, doing business as TK Financial Services. He was previously registered with InterVest International Equities in Colorado Springs, Colorado from 2012 until 2025. His credentials include the passage of ten securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; the Municipal Securities Principal Examination, or Series 53; the Municipal Securities Representative Examination, or Series 52; the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Operations Professional Exam, or Series 99TO; and the Registered Options Principal Examination, or Series 4. He is licensed in California, Colorado, and Washington. (Information current as of May 23, 2026.)

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