CO
Claire M. Oconnor
CETERA INVESTMENT ADVISERS LLC
MEDFORD, OR 97504
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CRD#: 7086071
CO
Professional summary
Claire Marie Oconnor, who also goes by Claire M Finney, Claire Finney, Claire O'connor, Claire Oconnor, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Medford, Oregon and CETERA WEALTH SERVICES, LLC located in Medford, Oregon.
Claire is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Claire has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Claire M Finney | Claire Finney | Claire O'connor | Claire 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.
1) KDP WEALTH MANAGEMENT LLC POSITION: Wealth Advisor NATURE: KDP Wealth Management, LLC provides premium, tax-optimized Private Wealth Management services. KDP offers retirement income planning services, financial planning services and legacy planning services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 12/09/2024 ADDRESS: 841 O'Hare Parkway Ste. 200, Medford OR 97504, United States DESCRIPTION: As a Wealth Advisor, I will provide advice to individuals and businesses, make recommendations and complete full financial plans to review, implement and monitor. I will create retirement income plans for the decumulation phase of retirement.
CRS (Client Relationship Summary) - RIA
Click below to view Claire Marie Oconnor'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 841 O'hare Parkway Ste. 200, Medford, OR 97504RIA
CRD#: 105644
MEDFORD, OR
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 841 O' Hare Parkway Ste. 200, Medford, OR 97504BD
CRD#: 13572
MEDFORD, OR
Past
December 5, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Medford, OR
Past
December 5, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MEDFORD, OR
Past
May 21, 2019 - December 3, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MEDFORD, OR
Past
April 8, 2019 - December 3, 2024
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MEDFORD, OR
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Michigan(9/5/2025)
RR
Nevada(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
IAR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Medford, OR 97504TRUST BUT VERIFY
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