SO
Stephen P. Ohara
Some features on this profile are disabled
CRD#: 1298282
SO
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen P Ohara, who also goes by Stephen Patrick O'hara, Stephen Patrick Ohara, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Patrick O'hara | Stephen Patrick Ohara
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)3/1/17-WEALTH ENHANCEMENT GROUP- DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s)- 100% 2)3/1/17- WEALTH ENHANCEMENT GROUP- Non-Variable Insurance-Inv. Related- Plymouth, MN - 100% 3)3/1/17-CLA FINANCIAL ADVISORS LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Northbrook, IL - start date 1/1/2011- 90% 4)3/1/17-RED WOLVERINE LLC- Real Estate Rental- Inv. Related- Northbrook, IL - start date 3/1/2011- 1%. 5) 3/23/2017 - WEALTH ENHANCEMENT ADVISORY SERVICES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - 80 Hours Per Month/0 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES an independent investment advisor firm. I started this business activity on 3/23/2017. I expect to spend approximately 80 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 30, 2021 - April 9, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
NORTHBROOK, IL
Past
August 6, 2018 - August 20, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
NORTHBROOK, IL
Past
March 7, 2017 - June 21, 2022
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
March 6, 2017 - June 21, 2022
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
RIA
CRD#: 116407
Northbrook, IL
Past
March 1, 2017 - November 4, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTHBROOK, IL
Past
April 28, 2011 - February 28, 2017
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
NORTHBROOK, IL
Past
March 31, 2011 - March 23, 2017
CLA FINANCIAL ADVISORS, LLC
RIA
CRD#: 156438
NORTHBROOK, IL
Past
February 22, 1999 - March 24, 2011
PRIVATE VISTA, LLC
RIA
CRD#: 108084
CHICAGO, IL
Past
January 4, 1999 - March 22, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CHICAGO, IL
Past
June 1, 1998 - January 4, 1999
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 9, 1984 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 3/14/1996
Non-Member General Securities ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
