John V. O'connor

O'CONNOR WEALTH MANAGEMENT

MONROVIA, CA 91016

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CRD#: 1747463

Professional summary

John Vincent O'connor, who also goes by John VIncent O'conner, John Vincent Oconnor, is a registered financial advisor currently at O'CONNOR WEALTH MANAGEMENT, INC. located in Monrovia, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. John has worked at 11 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Vincent O'conner | John Vincent 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.

Mr. O'Connor is licensed in an individual capacity as an insurance agent and may recommend the purchase of life insurance or annuity products through the financial planning process. When clients purchase these products, he receives insurance commissions, which creates a material conflict of interest due to the incentive compensation. *whether the business is investment-related - Yes, *the address of the other business - 139 E. COLORADO BLVD, SUITE 2, MONROVIA, CA, USA, 91016, *the nature of the other business - Insurance, *your position - Insurance Agent, *Title, or relationship with the other business - Insurance Agent, *the start date of your relationship - April 1 1999, *the approximate number of hours/month you devote to the other business - 1 hour per month, *the number of hours you devote to the other business during securities trading hours - 0 hours during securities trading hours, *briefly describe your duties relating to the other business - Occasionally underwrites term life insurance and annuity products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Vincent O'connor's CRS (Customer Relationship Summary).

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

June 26, 2012 - Present

O'CONNOR WEALTH MANAGEMENT, INC.

Office #1: 139 E. Colorado Blvd Suite 2, Monrovia, CA 91016

RIA

CRD#: 152316

MONROVIA, CA

Past

January 17, 2014 - February 4, 2014

EMERSON EQUITY LLC

CRD#: 130032

PASADENA, CA

Past

May 16, 2012 - June 4, 2012

CRD#: 193

LOS ANGELES, CA

Past

December 8, 2000 - July 3, 2002

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

March 15, 1994 - November 30, 2000

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

May 25, 1988 - March 13, 1989

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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".

O'CONNOR WEALTH MANAGEMENT, INC.

O'CONNOR JOHN, VINCENT | O'CONNOR, JOHN VINCENT | O'CONNOR WEALTH MANAGEMENT, LLC | O'CONNOR WEALTH MANAGEMENT, INC. | O'CONNOR WEALTH MANAGEMENT

CRD#: 152316 / SEC#: 801-131495

RIA

Registered Investment Advisory firm - (11/19/2024 Approved)

California

Registered Investment Advisory firm - (1/24/2025 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.

Highlighted states indicate IAR registrations

IAR

California
(6/26/2012)

IAR

Texas
(9/8/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/8/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/23/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/14/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/21/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

O'CONNOR WEALTH MANAGEMENT, INC.

O'CONNOR JOHN, VINCENT | O'CONNOR, JOHN VINCENT | O'CONNOR WEALTH MANAGEMENT, LLC | O'CONNOR WEALTH MANAGEMENT, INC. | O'CONNOR WEALTH MANAGEMENT

CRD#: 152316 / SEC#: 801-131495

RIA

Registered Investment Advisory firm - (11/19/2024 Approved)

California

Registered Investment Advisory firm - (1/24/2025 Terminated)

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Contact information

Main Address

139 E. Colorado Blvd Suite 2, Monrovia, CA 91016

Mailing Address

Phone number

(626) 386-5116

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

O'CONNOR WEALTH MANAGEMENT DISCLOSURE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 158,618,888

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.

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Firm Stability Insights

John V. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Vincent O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

DIMIRAK SECURITIES CORPORATION

HERITAGE FINANCIAL SYSTEMS, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

CROWELL, WEEDON & CO.

BRECEK & YOUNG ADVISORS, INC.

LEGEND EQUITIES CORPORATION

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

Primary Firm SEC Registration

O'CONNOR WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/8/2007

Series 63

Date: 12/28/1993

Series 7

Date: 7/23/2002

Series 6

Date: 3/14/1994

Series 26

Date: 3/21/1996

Current Firm

O'CONNOR WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

O'CONNOR WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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