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Christopher O'connor

Raymond James Financial Services Advisors, INC
22 Years of Experience
Aspen, CO
2 DisclosuresBroker
View SEC Summary
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Christopher O'connor is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Aspen, CO, with 22 years of industry experience. Christopher is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

307 Aspen Airport Business Center, Suite P, Aspen, CO, 81611

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History

Regulatory History (2)
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.
Criminal
December 2004
Final Disposition
Criminal
September 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Christopher is the Vice President and Director/Financial Advisor to The Arrowhead Foundation, Inc., a charitable foundation incorporated by his parents. He dedicates a few hours per week to this role.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 9 mos
Raymond James Financial Services, INC.Broker
March 2006 - Present · 20 yrs 7 mos
Previous Registrations
Raymond James Financial Services
July 2007 - January 2009 · 1 yr 6 mos
Sonic Technologies LLCBroker
November 2003 - March 2004 · 4 mos
Tucker Anthony IncorporatedBroker
December 2000 - November 2001 · 11 mos
Signator Investors, INC.Broker
July 2000 - December 2000 · 5 mos
State Registrations3 states
COFLMA
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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