Robert O'connor, financial advisor Modesto CA
81 score

Robert O'connor

CRD Number: 4517962
Current Firm: Cuna Brokerage Services, Inc.

Robert O'connor (CRD# 4517962) is an Investment Advisor Representative working at Cuna Brokerage Services, Inc. in Modesto, CA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Valley First Credit Union Modesto, CA Jul 2014 - Current 2
Cuna Brokerage Services Inc. Waverly, IA Jul 2014 - Current 2
Allstate Insurance Co Oakhurst, CA Nov 2011 - Jun 2014 2
Patelco Credit Union Pleasanton, CA Oct 2006 - Nov 2011 5
Cuso Financial Services, LP San Diego, CA Oct 2006 - Nov 2011 5
Sorrento Pacific Financial, LLC San Diego, CA Nov 2005 - Oct 2006 < 1
County Bank Modesto, CA Jan 2005 - Oct 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2002
S65 NASAA Investment Advisors Law Examination Apr 2007
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Robert J. O'connor
Phone Number: 319-352-4090
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,331
    MILLIONS
  • Total Number of Accounts
    6,286
    ACCOUNTS
  • Average Account Value
    $211,803
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Other
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
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
81

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