Ryan J. O'connor

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CRD#: 6394960

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.

Ryan James O'connor, who also goes by Ryan James Oconnor, was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2014. Ryan had worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ryan James Oconnor

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.

Outside Employment; Alderbrook Companies; New Orleans, LA 70130; Not Investment Related; October 2021; 0-9 hours per month; 0 during trading hours.

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

Past

January 31, 2023 - May 10, 2024

AURORA WEALTH ADVISORS

RIA

CRD#: 322947

DENVER, CO

Past

September 21, 2021 - January 12, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

San Diego, CA

Past

July 30, 2021 - January 12, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

San Diego, CA

Past

January 28, 2021 - July 12, 2021

SITUSAMC RISK ADVISORS, LLC

RIA

CRD#: 285555

DENVER, CO

Past

May 7, 2015 - September 25, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

GREENWOOD VILLAGE, CO

Past

November 5, 2014 - September 21, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

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".

AURORA WEALTH ADVISORS

AURORA WEALTH ADVISORS | SANDENA, INC.

CRD#: 322947 / SEC#: 801-127171

RIA

Registered Investment Advisory firm - (4/26/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 8/6/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/13/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/21/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/2014

General Securities Representative Examination

Current Firm

AURORA WEALTH ADVISORS

AURORA WEALTH ADVISORS | SANDENA, INC.

CRD#: 322947 / SEC#: 801-127171

RIA

Registered Investment Advisory firm - (4/26/2023 Approved)

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Contact information

Main Address

9915 Mira Mesa Boulevard Suite 240, San Diego, CA 92131

Mailing Address

Phone number

(858) 326-0046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE - AURORA WEALTH ADVISORS (6/10/2025)

Regulatory assets under management

Total Number of Accounts	675
AUM (Assets Under Management)	$ 133,902,811

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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Advisor Monitoring

Firm Stability Insights

Ryan J. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SITUSAMC RISK ADVISORS, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

AURORA WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/2021

Series 66

Date: 4/13/2015

Series 7TO

Date: 9/21/2021

SIE

Date: 9/21/2017

Series 7

Date: 11/5/2014

Current Firm

AURORA WEALTH ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AURORA WEALTH ADVISORS

TRUST BUT VERIFY

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