Individual Firm
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WILLIAM CLARK OCONNOR
BILL OCONNOR
CRD#: 1263364
IA
B
APPLIED FINANCIAL PLANNING, INC.CRD#: 136834 100 PACIFICA #400
IRVINE, CA 92618
IRVINE, CA 92618
CETERA ADVISOR NETWORKS LLCCRD#: 13572 100 PACIFICA STE 400
IRVINE, CA 92618
IRVINE, CA 92618
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12/14/2005
Customer Dispute
Settled
12/6/2001
Customer Dispute
Denied
State Registrations
B
Arizona 10/19/2020
B
Montana 10/19/2020
B
California 10/19/2020
B
Nevada 10/19/2020
IA
California 10/19/2020
B
New Mexico 10/19/2020
B
Colorado 10/19/2020
B
North Carolina 10/22/2020
B
Florida 10/19/2020
B
Oklahoma 10/19/2020
B
Georgia 10/19/2020
B
Oregon 10/19/2020
B
Idaho 1/3/2024
B
South Carolina 10/19/2020
B
Indiana 10/19/2020
B
Texas 10/19/2020
B
Michigan 10/19/2020
IA
Texas 10/19/2020
B
Missouri 9/18/2024
B
Washington 10/19/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/26/2023
IA
Registered with this firm since 10/19/2020
B
Registered with this firm since 10/19/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/08/1998 - 12/31/2022 | IRVINE, CA | |
IA | 09/11/1998 - 10/21/2020 | IRVINE, CA | |
B | 09/08/1998 - 10/21/2020 | IRVINE, CA | |
B | 07/17/1990 - 10/01/1998 | SCOTTSDALE, AZ | |
B | 05/23/1984 - 07/20/1990 | IRVINE, CA | |
B | 03/08/1988 - 11/07/1989 | ||
B | 11/27/1987 - 03/09/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.