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RIA / WealthAdvisor12 years in industry

KATHLEEN MARIE OCONNOR

Advisor at RMR WEALTH BUILDERS, INC.

MONTCLAIR, NJ | Geneva, IL

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Search this name across graphsid dfx:ria:e9172cc8-eb87-9976-7f1a-09794332ead3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 14, 2014 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: RMR WEALTH BUILDERS, INC.
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: Dec 18, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Dec 18, 2013
First registration: Oct 14, 2014
Dual registered: no
Other names: KARIE M OCONNOR|KATHLEEN OCONNOR|Kathleen M Weber|Kathleen M OConnor
IAPD individual key: 6222993

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
RMR WEALTH BUILDERS, INC.	Independent wealth	Jun 11, 2025	n/a	yes	Geneva, IL\|MONTCLAIR, NJ	Current employment
CLEARWATER CAPITAL PARTNERS	Independent wealth	Oct 10, 2023	Jun 10, 2025	no	HOFFMAN ESTATES, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 28, 2020	Oct 10, 2023	no	NORTHBROOK, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 14, 2016	Jan 27, 2020	no	ELK GROVE VILLAGE, IL	Previous registration
PLEXUS FINANCIAL SERVICES, LLC	Former SEC adviser	Oct 14, 2014	Aug 22, 2016	no	DEER PARK, 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
CLEARWATER CAPITAL PARTNERS	RMR WEALTH BUILDERS, INC.	Jun 10, 2025	Jun 11, 2025	1	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CLEARWATER CAPITAL PARTNERS	Oct 10, 2023	Oct 10, 2023	0	Firm change	Wirehouse to RIA
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 27, 2020	Jan 28, 2020	1	Firm change	Ibd to wirehouse
PLEXUS FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Aug 22, 2016	Sep 14, 2016	23	Firm change	Other

Relationships

Registered with (5)

→ RMR WEALTH BUILDERS, INC.Registered adviserregistration: current employment
Jun 11, 2025 to presentfactForm ADV
→ CLEARWATER CAPITAL PARTNERSRegistered adviserregistration: previous registration
Oct 10, 2023 to Jun 10, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 28, 2020 to Oct 10, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 14, 2016 to Jan 27, 2020factForm ADV
→ PLEXUS FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 14, 2014 to Aug 22, 2016factForm ADV

Dated events

Occurred
Jun 10, 2025
Advisor changed firm
Kathleen Marie Oconnor left Clearwater Capital Partners for Rmr Wealth Builders, Inc. (registered 2025-06-11)
Form ADVobserved 6 days ago
Occurred
Oct 10, 2023
Advisor changed firm
Kathleen Marie Oconnor left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Clearwater Capital Partners (registered 2023-10-10)
Form ADVobserved 6 days ago