JO
JO
James O'connor
40 Years of Experience
West Des Moines, IA
1 DisclosureBroker
James O'connor is a registered investment advisor at Morgan Stanley, based in West Des Moines, IA, with 40 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
West Des Moines, IA
Get directionsHistory
Regulatory History (1)
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Customer Dispute
April 1992Settled
Employment History
Current Registrations
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. IncorporatedBroker
February 2009 - June 2009 · 4 mos
Morgan Stanley & CO. Incorporated
February 2009 - June 2009 · 4 mos
Primevest Financial Services, INC.
December 2005 - February 2009 · 3 yrs 2 mos
Primevest Financial Services, INC.Broker
February 2004 - February 2009 · 5 yrs
Raymond James & Associates, INC.
January 1999 - December 2002 · 3 yrs 11 mos
Raymond James & Associates, INC.Broker
March 1998 - February 2004 · 5 yrs 11 mos
Kirkpatrick, Pettis, Smith, Polian INC.Broker
July 1996 - February 1998 · 1 yr 7 mos
Stifel, Nicolaus & Company, IncorporatedBroker
March 1995 - March 1995 · 0 mos
Brenton Brokerage Services, INC.Broker
May 1992 - July 1996 · 4 yrs 2 mos
Dean Witter Reynolds INC.Broker
March 1988 - May 1992 · 4 yrs 2 mos
R. G. Dickinson & CO.Broker
November 1985 - March 1988 · 2 yrs 4 mos
State Registrations14 states
AZFLIAILKSMNMONENVOKSCSDTXWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.