Clifford W. O'conner
C.W. O'CONNER WEALTH ADVISORS
Duluth, GA 30096
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CRD#: 2192846
Professional summary
Clifford Walter O'conner, ChFC®, CIMA®, CPWA® is a registered financial advisor currently at C.W. O'CONNER WEALTH ADVISORS, INC. located in Duluth, Georgia.
Clifford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Clifford has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Biography
Cliff is the founder and President of C.W. O’Conner Wealth Advisors, Inc. He has been providing investment, tax and wealth management services to individuals, families, and business owners since 1993. Cliff is unique among financial advisors in that he is a Certified Private Wealth Advisor (CPWA®), Registered Investment Advisor and a Chartered Financial Consultant (ChFC®). Cliff’s broad background and range of work experience enable him to assist clients in a wide range of different areas, including both personal and business.
Before founding C.W. O’Conner Wealth Advisors, Cliff worked as a CPA for international and local accounting firms including Coopers and Lybrand and Gifford, Hillegass and Ingwersen. He served as a CFO for McWhirter Realty Corp. and was a partner in real estate developments. Cliff earned his Bachelor of Business Administration degree in Accounting from Georgia State University in 1980.
Cliff serves on the board of trustees for Developmental Disabilities Ministries. Cliff is very active in DDM, volunteering his time and talents to the organization. He and his wife Alice live in Lilburn, GA, where they are active in church, school and local community activities. They have two grown children.
Question & Answer
What are your service offerings?
C.W. O’Conner Wealth Advisors,...
Our areas of expertise include...
As an independent Registered I...
Do you have an area of expertise or specialization?
Business Owners
Estate & Generational Planning...
High Net Worth Client Needs
Investment Advice with Ongoing...
Real Estate Investments
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Clifford Walter O'conner'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®
CPWA®
Start date: 2015-11-10
Expire date: 2023-09-30
Experience
Current
March 13, 2003 - Present
C.W. O'CONNER WEALTH ADVISORS, INC.
Office #1: 3175 Satellite Boulevard Suite 110, Duluth, GA 30096RIA
CRD#: 125646
Duluth, GA
Past
February 14, 2000 - May 10, 2000
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, NY
Past
May 20, 1997 - March 15, 1998
DEMPSEY FINANCIAL NETWORK, INC.
BD
CRD#: 38330
ATLANTA, GA
Past
May 10, 1995 - May 19, 1997
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, NY
Past
April 3, 1992 - May 15, 1995
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
November 25, 1991 - October 8, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, 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".
C.W. O'CONNER WEALTH ADVISORS, INC.
C.W. O'CONNER & ASSOCIATES, INC. | CLIFFORD W. O'CONNER | C.W. O'CONNER WEALTH ADVISORS, INC.
CRD#: 125646 / SEC#: 801-66146
RIA
Registered Investment Advisory firm - (8/28/2006 Approved)Georgia
Registered Investment Advisory firm - (1/11/2011 Terminated)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
Georgia(3/13/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
C.W. O'CONNER WEALTH ADVISORS, INC.
C.W. O'CONNER & ASSOCIATES, INC. | CLIFFORD W. O'CONNER | C.W. O'CONNER WEALTH ADVISORS, INC.
CRD#: 125646 / SEC#: 801-66146
RIA
Registered Investment Advisory firm - (8/28/2006 Approved)Georgia
Registered Investment Advisory firm - (1/11/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3175 Satellite Boulevard Suite 110, Duluth, GA 30096
Mailing Address
Phone number
(770) 368-9919
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 451 |
| AUM (Assets Under Management) | $ 233,373,139 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2024 | ||
| 10/20/2023 | ||
| 11/23/2022 |
Red Flags
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Company Information
C.W. O'CONNER WEALTH ADVISORS, INC.
CRD#: 125646Duluth, GA 30096TRUST BUT VERIFY
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Contact information
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