Andrew O'connor is a registered investment advisor at Upside Lab Advisors INC., based in Huntington, NY, with 28 years of industry experience. Andrew operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 4 clients with $1.7M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.50% |
| $500K - $1.0M | 1.00% |
| $1.0M - $5.0M | 0.75% |
| $5M+ | 0.50% |
Fees are generally negotiable.
Fee Estimator
Location
Huntington, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Andrew is the owner of FAMOC Inc., focusing on compliance and consulting, and spends about a quarter of his time there. He also works as a bartender and is a compliance officer/financial advisor for Gateway Investments LLC full-time.
Employment History
Current Registrations
Upside Lab Advisors INC.
Previous Registrations
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
Scottrade Investment Management
Scottrade, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
E&j Securities CORP.Broker
Lek Securities CorporationBroker
W.J. Blum & Sons, LLCBroker
Kfm Securities, INC.Broker
J & D Securities LLCBroker
Kfm Securities, INC.Broker
Jamie E. Friedman, INC.Broker
Dente, Joseph DennisBroker
Galway Securities CorporationBroker
Actinver Securities, INC.Broker
Furman Selz IncorporatedBroker
State Registrations1 state
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.