William C. Oconnor
CWM
Irvine, CA 92618
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CRD#: 1263364
Professional summary
William Clark Oconnor, CFP®, who also goes by Bill Oconnor, is a registered financial advisor currently at CWM, LLC located in Irvine, California and APPLIED FINANCIAL PLANNING, INC. located in Irvine, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Oconnor
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START: 06/1974; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; TITLE: INSURANCE AGENT; DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES; TITLE: WEALTH ADVISOR; START: 10/2020; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; DUTIES: ADVISORY SERVICES; 3. NAME OF OTHER BUSINESS: APPLIED FINANCIAL PLANNING INC.; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREP, BOOKKEEPING, ACCOUNTING; START DATE: 07/1996; TITLE: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: TAX PREP, TAX INTEGRATION, ACCOUNTING, BOOKKEEPING; 4. NAME OF OTHER BUSINESS: APPLIED FINANCIAL PLANNING INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA USED FOR FINANCIAL SERVICES; START : 01/1987; TITLE: OWNER / WEALTH ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; DUTIES: FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: APPLIED CAPITAL CONCEPTS. INC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PASS THROUGH OF INCOME; START DATE: 01/2003; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PASS THROUGH OF INCOME / PAY MYSELF; 6. NAME OF OTHER BUSINESS: AFP INSURANCE AGENCY; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE AGENCY; START: 06/2010; TITLE: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; DUTIES: INSURANCE SERVICES; 7. NAME OF OTHER BUSINESS: THE MONEY GUYS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RADIO PROGRAM; START: 09/2014; TITLE: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; DUTIES: PROMOTE CLIENTS TO LISTEN TO LOCAL NEWS AND PLANNING IDEAS; 8. NAME OF OTHER BUSINESS: ACC INVESTMENTS LLC; INVESTMENT RELATED: NO; ADDRESS: PALM DESERT, CA; NATURE OF BUSINESS: RENTAL PROPERTY; START: 08/2007; TITLE: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; DUTIES: MAINTAIN PROPERTY; 9. NAME OF OTHER BUSINESS: APPLIED FINANCIAL PLANNING INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISORY FIRM / TAX PREPARATION AND TAX PLANNING SERVICES; START : 07/1996; TITLE: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; DUTIES: TAX PREPARATION AND TAX PLANNING SERVICES; 10. NAME OF OTHER BUSINESS: ACCWM INC. (APPLIED CAPITAL CONCEPTS WEALTH MANAGEMENT); INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START: 2/2024 POSITION: CEO/OWNER; APX # OF HRS/WK: 1; APX # OF HRS DUR TRD HRS: 0; DUTIES: EXPENSE MANAGEMENT FOR TAX PURPOSES; 11. NAME OF OTHER BUSINESS: AFPWM, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR TAX PURPOSES AND SUCCESSION;
CRS (Client Relationship Summary) - RIA
Click below to view William Clark Oconnor's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1985
Experience
Current
October 19, 2020 - Present
CWM, LLC
Office #1: 100 Pacifica Suite 400, Irvine, CA 92618Office #2: 1055 East Colorado Blvd. 5th Floor, Pasadena, CA 91106Office #3: 3655 Torrance Blvd. 3rd Floor, Torrance, CA 90503Office #4: 21550 Oxnard St. Suite 300, Woodland Hills, CA 91367RIA
CRD#: 155344
Irvine, CA
Current
January 26, 2023 - Present
APPLIED FINANCIAL PLANNING, INC.
Office #1: 100 Pacifica #400, Irvine, CA 92618RIA
CRD#: 136834
IRVINE, CA
Current
October 19, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Pacifica Ste 400, Irvine, CA 92618BD
CRD#: 13572
Irvine, CA
Past
September 11, 1998 - October 21, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
September 8, 1998 - October 21, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
Past
April 8, 1998 - December 31, 2022
APPLIED FINANCIAL PLANNING, INC.
RIA
CRD#: 136834
IRVINE, CA
Past
July 17, 1990 - October 1, 1998
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
March 8, 1988 - November 7, 1989
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
November 27, 1987 - March 9, 1988
PFS INVESTMENTS INC.
BD
CRD#: 10111
Past
May 23, 1984 - July 20, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/19/2020)
RR
California(10/19/2020)
IAR
California(10/19/2020)
RR
Colorado(10/19/2020)
RR
Florida(10/19/2020)
RR
Georgia(10/19/2020)
RR
Idaho(1/3/2024)
RR
Indiana(10/19/2020)
RR
Michigan(10/19/2020)
RR
Missouri(9/18/2024)
RR
Montana(10/19/2020)
RR
Nevada(10/19/2020)
RR
New Mexico(10/19/2020)
RR
North Carolina(10/22/2020)
RR
Oklahoma(10/19/2020)
RR
Oregon(10/19/2020)
RR
South Carolina(10/19/2020)
RR
Texas(10/19/2020)
IAR
Texas(10/19/2020)
RR
Washington(10/19/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
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Contact information
Main Address
14600 Branch St., Omaha, NE 68154
Mailing Address
Phone number
(402) 330-0808
Established
Firm type
Fiscal year end
# of Employees
1,314
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,944 |
| AUM (Assets Under Management) | $ 33,775,526,748 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
