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RIA / WealthAdvisorCertified Financial Planner17 years in industry

RICHARD S O'HARA

Advisor at LAKE STREET

CHICAGO, IL | Palm City, FL

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Search this name across graphsid dfx:ria:b2be95f7-7340-3112-a630-59989ba06d3a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2008 to Sep 15, 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: LAKE STREET
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 23, 2008
First registration: Nov 17, 2008
Dual registered: no
Other names: RICHARD S OHARA
IAPD individual key: 5570125

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
LAKE STREET	Independent wealth	Apr 24, 2019	n/a	yes	Palm City, FL\|CHICAGO, IL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 13, 2010	Apr 22, 2019	no	OAK BROOK, IL\|STUART, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 25, 2010	no	Oak Brook, IL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Nov 17, 2008	Jun 1, 2009	no	OAK BROOK, IL	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LAKE STREET	Apr 22, 2019	Apr 24, 2019	2	Firm change	Wirehouse to RIA
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 25, 2010	May 13, 2010	-12	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LAKE STREETRegistered adviserregistration: current employment
Apr 24, 2019 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 13, 2010 to Apr 22, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 25, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Nov 17, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.