Christian M. Oconnor
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.
Christian M Oconnor, who also goes by Christian M O Connor Mr., Christian M O Connor, Christian M O'connor, Christian O'connor, Christian M Oconnor, Christian Oconnor, was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 2006. Christian had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 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
February 8, 2023 - October 22, 2025
ASSETMARK, INC.
February 8, 2023 - October 22, 2025
ASSETMARK BROKERAGE, LLC
August 16, 2021 - January 4, 2023
HORIZON INVESTMENTS LLC
August 16, 2021 - January 9, 2023
QUASAR DISTRIBUTORS, LLC
August 27, 2018 - June 9, 2021
FORESIDE FINANCIAL SERVICES, LLC
January 22, 2018 - March 16, 2018
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 8, 2017 - June 11, 2021
SYMMETRY PARTNERS
April 18, 2016 - December 7, 2017
KESTRA ADVISORY SERVICES, LLC
June 27, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
June 13, 2012 - December 7, 2017
KESTRA INVESTMENT SERVICES, LLC
November 11, 2008 - May 25, 2012
OSAIC WEALTH, INC.
February 16, 2007 - May 25, 2012
OSAIC WEALTH, INC.
June 29, 2006 - January 29, 2007
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
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
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 410,749 |
| AUM (Assets Under Management) | $ 77,412,781,198 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 12/19/2024 | ||
| 08/23/2024 | ||
| 12/06/2023 |
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.
