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HO

Heather J. O'connor

Some features on this profile are disabled
CRD#: 3162276
HO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Heather June O'connor, who also goes by Heather June Bell, Heather June O' Connor, Heather June Bell O'connor, Heather June Oconnor, Heather June Bell Oconnor, was a registered financial professional .

Heather is a previously registered financial professional and started their career in finance in 2000. Heather had worked at 13 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather June Bell | Heather June O' Connor | Heather June Bell O'connor | Heather June Oconnor | Heather June Bell 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 2, 2023 - February 13, 2026

LIDO

RIA
CRD#: 269866
San Diego, CA
Past

December 14, 2021 - May 23, 2023

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
San Diego, CA
Past

December 14, 2021 - May 23, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
SAN DIEGO, CA
Past

January 14, 2019 - October 6, 2020

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
San Diego, CA
Past

January 11, 2019 - October 6, 2020

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
SAN DIEGO, CA
Past

December 1, 2016 - January 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RANCHO SANTA FE, CA
Past

November 30, 2016 - January 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RANCHO SANTA FE, CA
Past

February 28, 2014 - December 1, 2016

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SAN DIEGO, CA
Past

September 21, 2012 - March 7, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

May 22, 2012 - December 5, 2016

KESTRA PRIVATE WEALTH SERVICES, LLC

RIA
CRD#: 155193
SAN DIEGO, CA
Past

January 23, 2012 - September 21, 2012

SPIRE SECURITIES, LLC

BD
CRD#: 144131
MCLEAN, VA
Past

June 1, 2009 - June 9, 2011

MORGAN STANLEY

RIA
CRD#: 149777
SAN DIEGO, CA
Past

June 1, 2009 - June 9, 2011

MORGAN STANLEY

BD
CRD#: 149777
SAN DIEGO, CA
Past

October 1, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SAN DIEGO, CA
Past

October 1, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SAN DIEGO, CA
Past

October 11, 2006 - October 9, 2007

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

October 11, 2006 - October 9, 2007

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

August 31, 2001 - May 4, 2005

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
SAN DIEGO, CA
Past

May 2, 2001 - May 4, 2005

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

January 16, 2001 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

March 22, 2000 - January 12, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
LIDO
LIDO
COLORADO FINANCIAL MANAGEMENT, A LIDO COMPANY | OAKHURST STRATEGIES, LLC | LIDO ADVISORS, LLC | LIDO ADVISORS | LIDO

CRD#: 269866 / SEC#: 801-100433

RIA
Registered Investment Advisory firm - (7/1/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/20/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/21/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/11/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/7/2003
General Securities Sales Supervisor - Options Module Examination

Current Firm

LIDO
LIDO
COLORADO FINANCIAL MANAGEMENT, A LIDO COMPANY | OAKHURST STRATEGIES, LLC | LIDO ADVISORS, LLC | LIDO ADVISORS | LIDO

CRD#: 269866 / SEC#: 801-100433

RIA
Registered Investment Advisory firm - (7/1/2015 Approved)
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Contact information

Main Address
1875 Century Park East Suite 950, Los Angeles, CA 90067
Mailing Address
Phone number
(310) 278-8232
Established
Firm type
Fiscal year end
# of Employees
320

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LIDO ADV PART 2A 2.19.2026 (2/19/2026)

Regulatory assets under management

Total Number of Accounts27,931
AUM (Assets Under Management)$ 29,080,337,946

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
11/26/2024
Cover Page
Report
01/26/2024
Cover Page
Report
02/28/2023
Cover Page
Report

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.

Company Information

LIDO

LIDO

CRD#: 269866

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