CFP

James O'connor

29 Years of Experience

Ft Pierce, FL

1 DisclosureBrokerSells Insurance

James O'connor is a CFP-designated registered investment advisor, based in Ft Pierce, FL, with 29 years of industry experience.

Location

Ft Pierce, FL

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History

Regulatory History (1)

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Criminal

February 2002

Final Disposition

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Other Business ActivitiesSells Insurance

James is an advisory representative of a RIA, spending nearly full-time trading. He is also an independent insurance agent for various companies, dedicating a few hours per week. Finally, James is the CEO of Oaken Shield Wealth Management, spending full-time on the business.

Employment History

Current Registrations

Cambridge Investment Research, INC.Broker

December 2021 - Present · 4 yrs 5 mos

Cambridge Investment Research Advisors, INC.

December 2021 - Present · 4 yrs 5 mos

Morgan Stanley Smith BarneyBroker

June 2009 - March 2012 · 2 yrs 9 mos

Morgan Stanley & CO. Incorporated

April 2007 - June 2009 · 2 yrs 2 mos

Morgan Stanley & CO. IncorporatedBroker

April 2007 - June 2009 · 2 yrs 2 mos

Morgan Stanley Dw INC.Broker

February 2000 - April 2007 · 7 yrs 2 mos

Morgan Stanley

February 2000 - April 2007 · 7 yrs 2 mos

Metropolitan Life Insurance CompanyBroker

September 1996 - December 1999 · 3 yrs 3 mos

Metlife Securities INC.Broker

September 1996 - December 1999 · 3 yrs 3 mos

State Registrations12 states

CACOFLGAINMINCNJNYOKTXWY

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.

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