Sean O'connor, financial advisor Carlsbad CA
96 score

Sean O'connor

CRD Number: 5597519
Current Firm: Anchor Bay Capital, Inc.

Sean O'connor (CRD# 5597519) is an Investment Advisor Representative working at Anchor Bay Capital, Inc. in Carlsbad, CA and has over 7 years of experience in the finance industry. Sean O'connor has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Anchor Bay Capital, Inc. Carlsbad, CA Dec 2015 - Current 1
Anchor Bay Securities, LLC Carlsbad, CA Dec 2015 - Current 1
Independent Financial Group San Diego, CA May 2011 - Dec 2015 4
Financial Designs Ltd. San Diego, CA May 2011 - Dec 2015 4
Unemployed San Diego, CA Dec 2010 - May 2011 < 1
Rjl Wealth Management, LLC San Diego, CA Apr 2010 - Dec 2010 < 1
First Allied Securities San Diego, CA Sep 2008 - Dec 2010 2
Raymond J Lucia Companies San Diego, CA Sep 2008 - Apr 2010 1
22nd District Agricultural Association Del Mar, CA Jun 2008 - Jul 2008 < 1
University Of Southern California Los Angeles, CA Aug 2007 - May 2008 < 1
22nd District Agricultural Association Del Mar, CA Jun 2007 - Jul 2007 < 1
University Of Southern California Los Angeles, CA Aug 2006 - May 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2009
Contact Info for Sean M. O'connor
Phone Number: 760-602-3470
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
Types of Clients
Registered States


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This advisor has a clean track record with regulators.

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