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Richard S O'hara

Richard S. O'hara

LAKE STREET
Palm City, FL
Some features on this profile are disabled
CRD#: 5570125
Richard S O'hara

Professional summary

Richard S O'hara, CFP®, who also goes by Richard S Ohara, is a registered financial advisor currently at LAKE STREET located in Palm City, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Richard has worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard S Ohara

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) - RIA

Click below to view Richard S O'hara's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Current

April 24, 2019 - Present

LAKE STREET

RIA
CRD#: 296761
Palm City, FL
Past

May 13, 2010 - April 22, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
STUART, FL
Past

May 13, 2010 - April 22, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
STUART, FL
Past

June 1, 2009 - May 25, 2010

MORGAN STANLEY

RIA
CRD#: 149777
OAK BROOK, IL
Past

June 1, 2009 - May 25, 2010

MORGAN STANLEY

BD
CRD#: 149777
OAK BROOK, IL
Past

November 17, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
OAK BROOK, IL
Past

September 17, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
OAK BROOK, IL

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".
LS
LAKE STREET
CLARITY FINANCIAL GROUP | LAKE STREET PRIVATE WEALTH, LLC | LAKE STREET FINANCIAL, LLC | LAKE STREET | ELARIN WEALTH ADVISORS

CRD#: 296761 / SEC#: 801-113228

RIA
Registered Investment Advisory firm - (5/16/2018 Approved)

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
Florida
(4/24/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/18/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/2008
General Securities Representative Examination

Current Firm

LS
LAKE STREET
CLARITY FINANCIAL GROUP | LAKE STREET PRIVATE WEALTH, LLC | LAKE STREET FINANCIAL, LLC | LAKE STREET | ELARIN WEALTH ADVISORS

CRD#: 296761 / SEC#: 801-113228

RIA
Registered Investment Advisory firm - (5/16/2018 Approved)
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Contact information

Main Address
128 N. May Street Floor 2, Chicago, IL 60607
Mailing Address
Phone number
(312) 766-7040
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (16 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

LAKE STREET FINANCIAL (2/20/2025)

Regulatory assets under management

Total Number of Accounts1,595
AUM (Assets Under Management)$ 961,797,021

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/14/2025
Cover Page
Report
09/18/2024
Cover Page
Report
10/18/2023
Cover Page
Report
11/23/2022
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

LAKE STREET

CRD#: 296761Palm City, FL

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