Robert J. O'connor
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.
Robert J O'connor, AIF®, who also goes by Bob J O'connor, Bob O'connor, Robert James O'connor, Robert James Oconnor, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2023 - July 31, 2023
CETERA INVESTMENT ADVISERS LLC
January 13, 2023 - July 31, 2023
CETERA INVESTMENT SERVICES LLC
June 27, 2019 - January 17, 2023
CUSO FINANCIAL SERVICES, L.P.
June 26, 2019 - January 17, 2023
CUSO FINANCIAL SERVICES, L.P.
July 14, 2014 - June 20, 2019
CUNA BROKERAGE SERVICES, INC.
July 14, 2014 - June 20, 2019
CUNA BROKERAGE SERVICES, INC.
December 1, 2011 - July 3, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
November 30, 2011 - July 3, 2014
ALLSTATE FINANCIAL SERVICES, LLC
May 8, 2007 - November 11, 2011
CUSO FINANCIAL SERVICES, L.P.
October 20, 2006 - November 11, 2011
CUSO FINANCIAL SERVICES, L.P.
November 14, 2005 - October 19, 2006
SORRENTO PACIFIC FINANCIAL, LLC
January 24, 2005 - November 14, 2005
ICBA FINANCIAL SERVICES CORPORATION
April 20, 2004 - January 24, 2005
GUARANTY BROKERAGE SERVICES, INC.
July 9, 2003 - March 12, 2004
WORLD GROUP SECURITIES, INC.
May 7, 2002 - December 10, 2002
EDWARD JONES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
