SO
Sean K. O'connor
SERENITY INVESTMENT ADVISORS
Salem, WI 53168
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CRD#: 6908452
SO
Professional summary
Sean Kyle O'connor, who also goes by Sean Kyle Oconnor, is a registered financial advisor currently at SERENITY INVESTMENT ADVISORS located in Salem, Wisconsin.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Sean has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Kyle 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.
Partner; Lisa A Spaay CPA LLC; Investment Related: No; Location: 23042 75th Street, Salem, WI 53168; Description of the business: Lisa Spaay is the owner of Lisa A Spaay CPA LLC. Lisa is a sole practitioner and she provides a variety of services including Income Tax Preparation for all types of businesses and individuals, IRS and State Audit Representation, Payroll Reporting, QuickBooks® setup, Business startup services, Monthly bookkeeping, and Financial statements preparation. ; Responsibilities Duties: My primary responsibility is to meet with clients, review their tax year data, and prepare their returns for Lisa's final review and filing.; Start date with business: 2021-02-01; Hours devoted to business during trading hours: 150; Percentage of total yearly compensation expected to be derived from the business: 15; LISA SPAAY CPA; TAX PREPARER; INVESTMENT RELATED: NO; 23042 75TH ST SALEM WI 53168 UNITE STATES; LISA SPAAY CPA IS AN ACCOUNTING FIRM THAT PRIMARILY ENGAGES IN TAX PREPARATION ACTIVITIES FOR INDIVIDUALS AND BUSINESSES. LISA SPAAY CPA ALSO PROVIDES PAYROLL AND BOOKKEEPING SERVICES.; START DATE: 2021-02-01; SEAN O'CONNOR'S PRIMARY DUTY IS TO ASSIST IN TAX PREPARATION DURING TAX SEASON. ALSO, OUTSIDE OF TAX SEASON SEAN ASSISTS WITH BOOKKEEPING.; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 30;HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 40; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 40;
CRS (Client Relationship Summary) - RIA
Click below to view Sean Kyle O'connor's 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®
NoneExperience
Current
November 1, 2024 - Present
SERENITY INVESTMENT ADVISORS
Office #1: 23042 75th Street, Salem, WI 53168RIA
CRD#: 307924
Salem, WI
Past
April 17, 2021 - November 1, 2024
O'CONNOR WEALTH PLANNING LLC
RIA
CRD#: 312576
SALEM, WI
Past
May 2, 2018 - February 23, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SADDLE BROOK, NJ
Past
April 3, 2018 - February 23, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
SADDLE BROOK, NJ
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".
SI
SERENITY INVESTMENT ADVISORS
ORGANIZE, PROTECT AND GROW YOUR WEALTH, LLC | SERENITY WEALTH MANAGEMENT | SERENITY INVESTMENT ADVISORS LLC | SERENITY INVESTMENT ADVISORS
CRD#: 307924 / SEC#: 801-123727
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Illinois
Registered Investment Advisory firm - (6/9/2022 Terminated)Texas
Registered Investment Advisory firm - (6/9/2022 Terminated)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
Illinois(11/13/2024)
IAR
Wisconsin(11/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SI
SERENITY INVESTMENT ADVISORS
ORGANIZE, PROTECT AND GROW YOUR WEALTH, LLC | SERENITY WEALTH MANAGEMENT | SERENITY INVESTMENT ADVISORS LLC | SERENITY INVESTMENT ADVISORS
CRD#: 307924 / SEC#: 801-123727
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Illinois
Registered Investment Advisory firm - (6/9/2022 Terminated)Texas
Registered Investment Advisory firm - (6/9/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
333 S. Wabash Ave. Suite 2700, Chicago, IL 60604
Mailing Address
Phone number
(312) 734-1415
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 396 |
| AUM (Assets Under Management) | $ 375,958,274 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
