MO
Mark E. O`connor
HINDS FINANCIAL GROUP
Lakewood, CO 80228
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CRD#: 2698798
MO
Professional summary
Mark Edward O`connor, CFP®, who also goes by Mark Edward Oconnor, is a registered financial advisor currently at HINDS FINANCIAL GROUP INC located in Lakewood, Colorado and CETERA INVESTMENT ADVISERS LLC located in Lakewood, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Mark has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Edward 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.
1. NAME OF OTHER BUSINESS: DBA HINDS FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 01/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR ADVISORY BUSINESS 2. NAME OF OTHER BUSINESS: HIGH COUNTRY NEWFOUNDLAND CLUB; INVESTMENT RELATED: NO; ADDRESS: 8284 ROSSMAN GULCH RD, MORRISON, CO 80465; NATURE OF BUSINESS: DOG CLUB; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: PAY BILLS, MAKE DEPOSITS, MEET QUARTERLY AND DISTRIBUTE REPORTS; 3. NAME OF OTHER BUSINESS: 141 UNION, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING ENTITY / COMMISSION PURPOSES; START DATE: 04/2018; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL PLANNER; APX NUMBER OF HOURS PER WEEK: 15-25; APX NUMBER OF HOURS DURING TRADING HOURS: 15-25; BRIEF DESCRIPTION OF DUTIES: HOLDING ENTITY / COMMISSION PURPOSES; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/2021 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND ANNUITIES
CRS (Client Relationship Summary) - RIA
Click below to view Mark Edward O`connor'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®
CFP®
Start date: 2011
Experience
Current
February 9, 2015 - Present
HINDS FINANCIAL GROUP INC
Office #1: 141 Union Blvd. Suite 350, Lakewood, CO 80228RIA
CRD#: 129971
Lakewood, CO
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 141 Union Blvd Ste 350, Lakewood, CO 80228Office #2: 8284 Rossman Gulch Rd, Morrison, CO 80465RIA
CRD#: 105644
LAKEWOOD, CO
Current
August 22, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 141 Union Blvd Ste 350, Lakewood, CO 80228BD
CRD#: 13572
Lakewood, CO
Past
August 16, 2012 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MORRISON, CO
Past
January 23, 2012 - June 19, 2012
CAMBRIDGE FINANCIAL ADVISORS, LLC
RIA
CRD#: 118314
SALIDA, CO
Past
March 21, 2011 - December 31, 2011
HONOR BOUND ADVISORS, LLC
RIA
CRD#: 156355
FOX LAKE, IL
Past
May 14, 2010 - March 1, 2011
HEROLD & LANTERN INVESTMENTS, INC.
BD
CRD#: 30996
CHICAGO, IL
Past
February 13, 2009 - June 11, 2009
EHLERT FINANCIAL GROUP, INC.
RIA
CRD#: 112150
LINCOLNSHIRE, IL
Past
January 9, 2009 - June 5, 2009
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
LINCOLNSHIRE, IL
Past
January 18, 2001 - February 15, 2001
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
September 21, 2000 - January 30, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 10, 1998 - August 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2018)
RR
Arkansas(8/16/2018)
RR
California(8/22/2012)
RR
Colorado(8/22/2012)
IAR
Colorado(2/9/2015)
RR
District of Columbia(9/14/2018)
RR
Florida(11/3/2021)
RR
Idaho(10/4/2024)
RR
Illinois(1/6/2016)
RR
Kansas(12/5/2019)
RR
Michigan(9/17/2025)
RR
Minnesota(7/25/2025)
RR
Montana(8/14/2019)
RR
Nebraska(12/17/2018)
RR
Nevada(3/9/2020)
RR
New York(12/2/2019)
RR
Oregon(8/16/2018)
RR
South Carolina(10/25/2024)
IAR
Texas(2/9/2015)
RR
Texas(1/6/2016)
RR
Virginia(8/16/2018)
RR
Washington(5/3/2024)
RR
Wisconsin(8/14/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
