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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

Miguel O'Hara

Advisor at CHARLES SCHWAB & CO., INC.

Walnut Creek, CA

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Search this name across graphsid dfx:ria:041df1d3-6512-88b0-8a6e-4f1405438673

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 13, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 15, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Mar 15, 2011
First registration: Aug 13, 2013
Dual registered: yes, broker-dealer
Other names: Miguel James O'Hara|MIGUEL JAMES OHARA
IAPD individual key: 5884894

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 12, 2020	n/a	yes	Walnut Creek, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 7, 2014	Oct 23, 2020	no	SAN ANSELMO, CA\|CORTE MADERA, CA\|EUREKA, CA\|ARCATA, CA\|NOVATO, CA\|Sausalito, CA\|CORTE MADERA, CA\|Mill Valley, CA\|Sausalito, CA\|Mill Valley, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 16, 2014	Oct 28, 2014	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Aug 13, 2013	Jan 13, 2014	no	Oakland, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	CHARLES SCHWAB & CO., INC.	Oct 23, 2020	Nov 12, 2020	20	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	J.P. MORGAN SECURITIES LLC	Oct 28, 2014	Nov 7, 2014	10	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	WELLS FARGO ADVISORS	Jan 13, 2014	Jan 16, 2014	3	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 7, 2014 to Oct 23, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 16, 2014 to Oct 28, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 13, 2013 to Jan 13, 2014factForm ADV

Dated events

No dated event names this entity yet.