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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

MARK EDWARD O`CONNOR

Advisor at CETERA INVESTMENT ADVISERS LLC

LAKEWOOD, CO | MORRISON, CO

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Search this name across graphsid dfx:ria:e791caab-fd04-9563-69e4-d87d435a6fb0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2009 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 29, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 2
Exams: S66|S63
First exam: Mar 29, 2000
First registration: Feb 13, 2009
Dual registered: yes, broker-dealer
Other names: MARK EDWARD OCONNOR
IAPD individual key: 2698798

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	MORRISON, CO\|LAKEWOOD, CO	Current employment
HINDS FINANCIAL GROUP INC	Independent wealth	Feb 9, 2015	n/a	yes	LAKEWOOD, CO	Current employment
CAMBRIDGE FINANCIAL ADVISORS, LLC	Former SEC adviser	Jan 23, 2012	Jun 19, 2012	no	SALIDA, CO	Previous registration
HONOR BOUND ADVISORS, LLC	n/a	Mar 21, 2011	Dec 31, 2011	no	FOX LAKE, IL	Previous registration
EHLERT FINANCIAL GROUP, INC.	n/a	Feb 13, 2009	Jun 11, 2009	no	LINCOLNSHIRE, 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
CAMBRIDGE FINANCIAL ADVISORS, LLC	HINDS FINANCIAL GROUP INC	Jun 19, 2012	Feb 9, 2015	965	Firm change after gap	Other
HONOR BOUND ADVISORS, LLC	CAMBRIDGE FINANCIAL ADVISORS, LLC	Dec 31, 2011	Jan 23, 2012	23	Firm change	Other
EHLERT FINANCIAL GROUP, INC.	HONOR BOUND ADVISORS, LLC	Jun 11, 2009	Mar 21, 2011	648	Firm change after gap	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ HINDS FINANCIAL GROUP INCRegistered adviserregistration: current employment
Feb 9, 2015 to presentfactForm ADV
→ CAMBRIDGE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 23, 2012 to Jun 19, 2012factForm ADV
→ HONOR BOUND ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 21, 2011 to Dec 31, 2011factForm ADV
→ EHLERT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Feb 13, 2009 to Jun 11, 2009factForm ADV

Dated events

No dated event names this entity yet.