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Sean P Oconnor

Independent Financial Group, LLC

San Diego, CA

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Current Employers
Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-11-28
  • CA RA
    APPROVED
    Since 2022-11-28

Branch Locations

12671 High Bluff Dr Ste 200, San Diego, CA 92130 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lucia Capital Group San Diego CA 12/2014 11/2022
Lpl Financial, Llc San Diego CA 09/2020 11/2022
Independent Financial Group, Llc San Diego CA 11/2022 Present
Previous Registrations
  • 2020-09-01 → 2022-11-29
    Lpl Financial Llc
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2019-04-18 → 2020-10-05
    Lucia Capital Group
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-17
  • S66 Uniform Combined State Law Examination
    2019-04-17
Other Names
  • Sean P Oconnor
  • Sean P O'COnnor

View on SEC IAPD

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