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Sean Edward Ohara

PACER ADVISORS
Palm Beach, FL
·CRD# 1312483·41 years experience

Professional Summary

Sean Edward Ohara is a registered financial advisor currently at PACER ADVISORS, INC. located in Palm Beach, Florida and PACER FINANCIAL, INC. located in Malvern, Pennsylvania. Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Sean has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

41 years in the financial services industry

Current & Past Employments

PACER ADVISORS, INC.·CRD# 137381
RIA
Palm Beach, FL
March 11, 2009 - Present
PACER FINANCIAL, INC.·CRD# 137040
BD
500 Chesterfield Parkway, Malvern, PA 19355
February 25, 2008 - Present
GLOBAL ATLANTIC DISTRIBUTORS, LLC·CRD# 8326
BD
Wayne, PA
June 18, 1987 - May 18, 2007
THE GREAT-WEST LIFE ASSURANCE COMPANY·CRD# 5927
BD
February 4, 1986 - April 14, 1987
THE ADVISORS GROUP, INC.·CRD# 14035
BD
June 18, 1985 - December 27, 1985

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Current Firm

PA
PACER ADVISORS, INC.

PACER ADVISORS, INC.

CRD#: 137381 / SEC#: 801-79654
RIA
Registered Investment Advisory firm - SEC (4/30/2014 Approved)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (6/16/2014 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

500 Chesterfield Parkway, Malvern, PA 19355

Phone Number

(855) 780-8100

# of Employees

24

SEC notice filing (1 States and Territories)

Registered to provide investment advisory services in 1 US states and territories.

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

71

AUM (Assets Under Management)

$41,843,740,164

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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.

ENTERED INTO AN OPTION AGREEMENT JUNE, 2012 TO ACQUIRE A 24.5% INTEREST IN PF, LLC, A SERVICES COMPANY LOCATED AT 500 Chesterfield parkway, Malvern, PA. BUSINESS INVESTMENT OPTION IS STILL OUTSTANDING AND REMAINS UN-EXERCISED. INVESTMENT RELATED INVESTOR ONLY 0 HOURS PER MONTH ARE DEVOTED TO THIS ACTIVITY AND 0 HOURS PER MONTH ARE DEVOTED TO THE ACTIVITY DURING SECURITIES TRADING HOURS NO POSITION AS A COMPANY OFFICER OR DIRECTOR. Uber, Philadelphia, PA, Taxi-Limousine Service, Non-Investment Related, Position-Uber Driver, Start Date 10/06/2016, Duties Performed-Driving/Transportation, Approximately 30 Hours Per Month Devoted To The Business, 0 Hours Devoted To The Business During Securities Trading Hours, Do Not Have Position as Company Officer/Director/Etc. 500 Chesterfield Parkway Holdings LLC, Address of Business - 500 Chesterfield Parkway, Malvern, PA, Nature of Business - Limited Liability Company, Business is Investment Related, Hold position as Passive Investor (24.5%), Start Date of relationship with business - 09/10/2019, duties related to the business - Membership Interest in LLC, 0 hours per month devoted to the business, 0 hours devoted to the business during trading hours, Hold position as company officer. War Horse Stables. Address of business - 500 Chesterfield Parkway, Malvern, PA. Nature of Business - Racing Stables. Business is Not Investment Related. Hold position as Partner. Start date - Q1, 2020. Duties related to the business - Passive Investment in Trotting and Pacing race Horses. 0 hours devoted to the business per month. 0 hours devoted to the business during securities trading hours. Do Not hold position as a company Officer / Director, etc.

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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".
PA
PACER ADVISORS, INC.

PACER ADVISORS, INC.

CRD#: 137381 / SEC#: 801-79654
RIA
Registered Investment Advisory firm - SEC (4/30/2014 Approved)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (6/16/2014 Terminated)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(2/25/2008)
RR
Alaska
(2/25/2008)
RR
Arizona
(2/25/2008)
RR
Arkansas
(2/25/2008)
RR
California
(2/25/2008)
RR
Colorado
(2/25/2008)
RR
Connecticut
(2/25/2008)
RR
Delaware
(2/25/2008)
RR
District of Columbia
(2/25/2008)
RR
Florida
(2/25/2008)
RR
Georgia
(2/25/2008)
RR
Hawaii
(3/5/2008)
RR
Idaho
(2/25/2008)
RR
Illinois
(2/25/2008)
RR
Indiana
(2/25/2008)
RR
Iowa
(2/25/2008)
RR
Kansas
(2/25/2008)
RR
Kentucky
(2/25/2008)
RR
Louisiana
(2/25/2008)
RR
Maine
(2/25/2008)
RR
Maryland
(2/25/2008)
RR
Massachusetts
(2/25/2008)
RR
Michigan
(2/25/2008)
RR
Minnesota
(2/25/2008)
RR
Mississippi
(2/25/2008)
RR
Missouri
(2/25/2008)
RR
Montana
(2/25/2008)
RR
Nebraska
(2/25/2008)
RR
Nevada
(2/25/2008)
RR
New Hampshire
(2/25/2008)
RR
New Jersey
(2/25/2008)
RR
New Mexico
(2/25/2008)
RR
New York
(2/25/2008)
RR
North Carolina
(2/27/2008)
RR
North Dakota
(3/18/2008)
RR
Ohio
(7/7/2008)
RR
Oklahoma
(2/25/2008)
RR
Oregon
(2/25/2008)
RR
Pennsylvania
(2/25/2008)
IAR
Pennsylvania
(3/11/2009)
RR
Rhode Island
(2/25/2008)
RR
South Carolina
(2/25/2008)
RR
South Dakota
(2/25/2008)
RR
Tennessee
(2/25/2008)
RR
Texas
(2/25/2008)
RR
Utah
(2/25/2008)
RR
Vermont
(2/25/2008)
RR
Virginia
(2/25/2008)
RR
Washington
(2/25/2008)
RR
West Virginia
(2/25/2008)
RR
Wisconsin
(2/25/2008)
RR
Wyoming
(2/25/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 2009About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1985About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2011About the Series 24 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Nov 1998About the Series 26 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Sean Edward Ohara's CRS (Customer Relationship Summary).

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