RO
RO
Richard O'connell
33 Years of Experience
Bloomfield Hills, MI
1 DisclosureBroker
Richard O'connell is a registered investment advisor at Raymond James & Associates, INC., based in Bloomfield Hills, MI, with 33 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
39400 Woodward Ave, Suite 150, Bloomfield Hills, MI, 48304
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 2012Employment History
Current Registrations
Raymond James & Associates, INC.
February 2012 - Present · 14 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2012 - Present · 14 yrs 3 mos
Previous Registrations
Wells Fargo Advisors, LLC
June 2006 - January 2012 · 5 yrs 7 mos
Wells Fargo Advisors, LLCBroker
June 2006 - January 2012 · 5 yrs 7 mos
Banc of America Investment Services, INC.
January 2005 - June 2006 · 1 yr 5 mos
Banc of America Investment Services, INC.Broker
December 2004 - June 2006 · 1 yr 6 mos
Morgan Stanley Dw INC.Broker
July 1998 - December 2004 · 6 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1992 - July 1998 · 5 yrs 11 mos
State Registrations49 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNENHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWVWY
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.