Karoline Ann O'COnnor

Current Employers

Employment History

• 11/2007 → 05/2021
  Ubs Financial Services Inc. :
  Chicago, IL
• 06/2021 → Present
  Lpl Financial, Llc
  Schaumburg, IL
• 05/2021 → Present
  Gladstone Wealth Partners
  Schaumburg, IL

Previous Registrations

• 2008-02-05 → 2021-06-22
  Ubs Financial Services Inc.
  Barrington, IL
  Chicago, IL

Other Businesses

1) 06/11/2021 - DBA for LPL Business (entity for LPL business) - Gladstone Wealth Partners - Investment Related - Schaumburg, IL 2) 06/11/2021 - Business Entity For Tax/Investment Purposes Only - Puzzle Wealth Partners - Investment Related - Schaumburg, IL 3) 06/11/2021 - DBA for LPL Business (entity for LPL business) - Puzzle Wealth Solutions - Investment Related - Schaumburg, IL 4) 6/16/2021 - Gladstone Institutional Advisory, LLC - DBA: (Hybrid) Puzzle Wealth Solutions - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/25/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through GLADSTONE INSTITUTIONAL ADVISORY, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 600 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 6/16/2021 - Gladstone Institutional Advisory, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/25/2021 - Time Spent 100% - I provide investment advisory services through GLADSTONE INSTITUTIONAL ADVISORY, an independent investment advisor firm. I started this business activity in 06/2021. I expect to spend approximately 600 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 06/21/2023 - Clover V - Not Investment Related - Schaumburg, IL - Business Entity For Tax/Investment Purposes Only - Start Date 11/01/2022 - 0 Hours Per Month/ 0 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-01-14
• S63 Uniform Securities Agent State Law Examination
  1997-12-31

Other Names

• Karoline Ann Mcaloon
• Karoline Ann Oconnor