Lisa Oconnor
Professional Summary
Lisa Oconnor, who also goes by Lisa Cuellar, Lisa O'connor, Lisa Oconnor, is a registered financial advisor currently at MUTUAL ADVISORS, LLC located in Tiffin, Iowa and MUTUAL SECURITIES, INC. located in North Little Rock, Arkansas. Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Lisa has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lisa Cuellar, Lisa O'connor, Lisa Oconnor
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | SCANLON WEALTH MANAGEMENT | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LARSEN WEALTH STRATEGIES | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | IRONCLADNIL | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
Contact Information
Main Address
9140 W Dodge Road Suite 230, Omaha, NE 68114Phone Number
(307) 439-6357# of Employees
223SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
24,295AUM (Assets Under Management)
$9,449,420,841Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
21:5 WEALTH MANAGEMENT | ZEALAND WEALTH MANAGEMENT FINANCE AND INSURANCE SERVICES | ZEALAND WEALTH MANAGEMENT | YIELD ADVISORY | WISE OAK WEALTH | WISE CAPITAL PARTNERS | WINTHROP TAYLOR FINANCIAL | WILLIS ECKFELDT | WHITEHOUSE WEALTH MANAGEMENT | WEALTH PARTNERS | WEALTH MANAGEMENT STRATEGIES | W. MCKINLEY & ASSOCIATES | VISION WEALTH | TVG FINANCIAL | THE CAPITAL GROUP, LLC | THE APICAL MERISTEM COMPANY | T.R.U.E FINANCIAL GUIDES | SYNERGIST PRIVATE WEALTH | SWAIN FINANCIAL SERVICES | SULLIVAN WEALTH MANAGEMENT GROUP | STONEFORD ADVISORS | STONE & DOWN WEALTH MANAGEMENT | STILLWATER WEALTH MANAGEMENT | STERLING OAKS FINANCIAL SERVICES | SPECTRA PRIVATE WEALTH | SOUTHERN INVESTMENT MANAGEMENT COLLECTIVE | SOUL WEALTH ADVISOR | SONDER PRIVATE WEALTH MANAGEMENT | SILVER STATE WEALTH MANAGEMENT | SIERRA INVESTMENT ADVISORS | SCHREUR FINANCIAL | SCANLON WEALTH MANAGEMENT | ROSEHILL ASSET MANAGEMENT | RESULTPOINT FINANCIAL | R. S. PETERSON FINANCIAL | PURPOSE COMPREHENSIVE WEALTH MANAGEMENT | PURPLE CLOVER WEALTH MANAGEMENT | PRIME SOLUTIONS INVESTMENTS | PRICE WEALTH MANAGEMENT | POLARIS FINANCIAL | PLANWISER FINANCIAL | PASCARELLA PLANNING GROUP | OASIS ADVISERS | NORTH COUNTRY WEALTH MANAGEMENT | NFUSE CPAITAL | NEWPORT COAST WEALTH MANAGEMENT | NANCE WEALTH MANAGEMENT | MYERS DEWITT | MUTUAL GROUP INVESTMENT SOLUTIONS | MUTUAL GROUP | MUTUAL ADVISORS, LLC DBA SIERRA INVESTMENT ADVISORS | MUTUAL ADVISORS, LLC | MUELLER WEALTH | MONUMENT INVESTMENT ADVISORS | MOLINA WEALTH MANAGEMENT | MCDONALD HARTMAN WEALTH ADVISORS | LONG TERM CAPITAL MANAGEMENT | LARSEN WEALTH STRATEGIES | LANDOR ADVISORS | KING CAPITAL MANAGEMENT | KIELY CONSULTING | IRONCLADNIL | INSIGHTFUL ADVISORY | HOSLER WEALTH MANAGEMENT | HODDER INVESTMENT ADVISORS | HAWTHORNE CAPITAL WEALTH ADVISORS | HADDAM ROAD ADVISORS | GREY FOX FINANCIAL PARTNERS | GLOBAL PORTFOLIO SOLUTIONS | GIANOTTI WEALTH ADVISORY | GAIA CAPITAL MANAGEMENT | FRONT OFFICE WEALTH STRATEGIES | FOX FINANCIAL GROUP | FINANCIAL JOURNEY PARTNERS | FAIRBANKS WEALTH MANAGEMENT | ERX WEALTH PARTNERS | DMI WEALTH MANAGEMENT SOLUTIONS | DMI WEALTH MANAGEMENT & INSURANCE SOLUTIONS | DEL REY CAPITAL MANAGEMENT | DCH WEALTH MANAGEMENT | CONTEXT WEALTH | CONNECT WEALTH | COLLOP CAPITAL | CGT WEALTH ADVISORS | CATALYST PRIVATE WEALTH | CARROLL WEALTH MANAGEMENT | CALIFORNIA RETIREMENT ADVISORS | BILTMORE ADVISORS, INC | BILTMORE ADVISORS | BEYOND FINANCIAL ADVISORS | BEYOND | BARRETT PLANNING GROUP | BAMBOO FINANCIAL ADVISORS | ALL SKY WEALTH MANAGEMENT | ADLER CAPITAL ADVISORS | ADHERENCE CAPITAL MANAGEMENT | 401 FINANCIAL
State Registrations and Notice Filings
(5/1/2023)
(5/2/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2006About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lisa Oconnor's CRS (Customer Relationship Summary).
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