Sean E. Ohara

PACER ADVISORS

Palm Beach, FL

Some features on this profile are disabled

CRD#: 1312483

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Edward Ohara'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®

None

Experience

Current

March 11, 2009 - Present

PACER ADVISORS, INC.

RIA

CRD#: 137381

Palm Beach, FL

Current

February 25, 2008 - Present

PACER FINANCIAL, INC.

Office #1: 500 Chesterfield Parkway, Malvern, PA 19355

CRD#: 137040

Malvern, PA

Past

June 18, 1987 - May 18, 2007

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

WAYNE, PA

Past

February 4, 1986 - April 14, 1987

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

Past

June 18, 1985 - December 27, 1985

THE ADVISORS GROUP, INC.

CRD#: 14035

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".

PACER ADVISORS, INC.

CRD#: 137381 / SEC#: 801-79654

RIA

Registered Investment Advisory firm - (4/30/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - (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.

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

Alabama
(2/25/2008)

Alaska
(2/25/2008)

Arizona
(2/25/2008)

Arkansas
(2/25/2008)

California
(2/25/2008)

Colorado
(2/25/2008)

Connecticut
(2/25/2008)

Delaware
(2/25/2008)

District of Columbia
(2/25/2008)

Florida
(2/25/2008)

Georgia
(2/25/2008)

Hawaii
(3/5/2008)

Idaho
(2/25/2008)

Illinois
(2/25/2008)

Indiana
(2/25/2008)

Iowa
(2/25/2008)

Kansas
(2/25/2008)

Kentucky
(2/25/2008)

Louisiana
(2/25/2008)

Maine
(2/25/2008)

Maryland
(2/25/2008)

Massachusetts
(2/25/2008)

Michigan
(2/25/2008)

Minnesota
(2/25/2008)

Mississippi
(2/25/2008)

Missouri
(2/25/2008)

Montana
(2/25/2008)

Nebraska
(2/25/2008)

Nevada
(2/25/2008)

New Hampshire
(2/25/2008)

New Jersey
(2/25/2008)

New Mexico
(2/25/2008)

New York
(2/25/2008)

North Carolina
(2/27/2008)

North Dakota
(3/18/2008)

Ohio
(7/7/2008)

Oklahoma
(2/25/2008)

Oregon
(2/25/2008)

Pennsylvania
(2/25/2008)

IAR

Pennsylvania
(3/11/2009)

Rhode Island
(2/25/2008)

South Carolina
(2/25/2008)

South Dakota
(2/25/2008)

Tennessee
(2/25/2008)

Texas
(2/25/2008)

Utah
(2/25/2008)

Vermont
(2/25/2008)

Virginia
(2/25/2008)

Washington
(2/25/2008)

West Virginia
(2/25/2008)

Wisconsin
(2/25/2008)

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

State Security Law Exam

IAR

Series 65

Date: 1/6/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/25/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PACER ADVISORS, INC.

CRD#: 137381 / SEC#: 801-79654

RIA

Registered Investment Advisory firm - (4/30/2014 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/16/2014 Terminated)

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

500 Chesterfield Parkway, Malvern, PA 19355

Mailing Address

Phone number

(855) 780-8100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 46,063,913,101

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean E. Ohara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PACER FINANCIAL, INC.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

THE GREAT-WEST LIFE ASSURANCE COMPANY

THE ADVISORS GROUP, INC.

Primary Firm SEC Registration

PACER ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2009

Series 63

Date: 3/17/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1985

Series 24

Date: 9/30/2011

Series 26

Date: 11/25/1998

FINRA

Current Firm

PACER ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

PACER ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors