Adam B. Connors

NEWPORT BEACH, CA

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CRD#: 4956073

Professional summary

Adam Blake Connors was a registered financial advisor .

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Adam had worked at 3 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Heights Real Estate Holdings and Management; Investment-related; Newport Beach, CA. 92663; Real Estate Holdings; Owner / Manager; 5/17/2007; 5 hours per month; 0 during trading hours; Managing and reporting residential real estate holdings 2) Yucca Fins; Investment-related; Costa Mesa, CA. 92627; Retail; Strategic Advisor; 5/1/2015; 5 hours per month; 0 during trading hours; Assist with the overall growth and advancement of the company

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

Current

October 31, 2025 - Present

NEWPORT BEACH, CA

Past

August 12, 2013 - January 3, 2024

NORTHLAND SECURITIES, INC.

RIA

CRD#: 40258

Costa Mesa, CA

Past

August 7, 2013 - January 3, 2024

NORTHLAND SECURITIES, INC.

CRD#: 40258

NEWPORT BEACH, CA

Past

June 29, 2010 - July 1, 2013

C.K. COOPER & COMPANY, INC.

RIA

CRD#: 106578

IRVINE, CA

Past

August 22, 2005 - July 1, 2013

C.K. COOPER & COMPANY, INC.

CRD#: 106578

IRVINE, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(10/31/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/12/2009

General Securities Principal Examination

Current firm

No current employment

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.

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Adam B. Connors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHLAND SECURITIES, INC.

NORTHLAND SECURITIES, INC.

C.K. COOPER & COMPANY, INC.

C.K. COOPER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2005

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/19/2005

Series 24

Date: 11/12/2009

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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