Thomas O'connell
Thomas O'connell is a registered investment advisor at Hilltop Securities INC., based in Sherman Oaks, CA, with 23 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 2,241 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Horizon Program fee is a negotiated annual flat fee, not to exceed 1.75%, billed quarterly in advance. This fee covers investment advice and reporting. The fee is debited from a separate account the client has with Hilltop Securities, not directly from the Horizon account. The value of alternative investments is based on information provided by the product sponsors and administrators, which may be delayed and not current. This fee is in addition to the investment management fees and other expenses charged by the Alternative Investment Funds and Structured Products.
Location
15301 Ventura Blvd, Building B, Suite 410, Sherman Oaks, CA, 91403
Get directionsHistory
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.
Learn about disclosures →Other Business Activities
Thomas is a limited partner in McConnell's Fine Ice Cream since 2018, dedicating minimal time. He is also a limited partner member of Hamilton Grant LLC since 2022, which streamlines the M&A process for independent investment bankers, and he does not direct the management or policies of the firm.
Employment History
Current Registrations
Hilltop Securities INC.
Hilltop Securities INC.Broker
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
First Republic Securities Company, LLCBroker
Froley, Revy Asset Traders, INC.Broker
J.B. Oxford & CompanyBroker
Baraban Securities, INC.Broker
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.