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Charles O'connor

O'connor Financial Group, LLC
19 Years of Experience
Royal Oak, MI
1 DisclosureBrokerSells Insurance
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Charles O'connor is a registered investment advisor at O'connor Financial Group, LLC, based in Royal Oak, MI, with 19 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Investment Management. Their firm serves 275 clients with $83M in assets under management.

O'connor Financial Group, LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
275 clients
Average Client Portfolio
$302K average
Assets Under Management
$82.9M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.00%
$250K - $500K1.75%
$500K - $750K1.50%
$750K - $1000K1.25%
$1M+1.00%

Rates shown apply to Individual Bond and Alternative Investment strategies. Other strategies have flat annual fees: Covered Call Options at 3.00%, Covered Put Options at 3.00%, Individual Equity at 2.00%, Equity Mutual Funds at 1.25%, and Fixed Income at 1.25%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Royal Oak, MI

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History

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.
Customer Dispute
October 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Charles is a registered investment advisor doing business as O'Connor Financial Group, providing financial planning and asset management services. He is also licensed to sell life insurance and annuities in Michigan, dedicating minimal time to this activity.

Employment History
Current Registrations
O'connor Financial Group, LLC
April 2011 - Present · 15 yrs 6 mos
LPL Financial LLCBroker
December 2010 - Present · 15 yrs 10 mos
Previous Registrations
LPL Financial LLC
June 2013 - September 2014 · 1 yr 3 mos
LPL Financial LLC
December 2010 - May 2011 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2009 - December 2010 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2009 - December 2010 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
March 2007 - December 2008 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2007 - December 2008 · 1 yr 9 mos
State Registrations3 states
ILMIOH
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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