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Michael Oconnor

Windham Financial Services, INC.
44 Years of Experience
Steamboat Springs, CO
2 Disclosures
View SEC Summary
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Michael Oconnor is a registered investment advisor at Windham Financial Services, INC., based in Steamboat Springs, CO, with 44 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 36 clients with $26M in assets under management.

Windham Financial Services, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
36 clients
Average Client Portfolio
$713K average
Assets Under Management
$25.7M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Fees are negotiable based on the value of your portfolio, product mix, asset allocation, investment strategies, and your objectives.

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

Location

Steamboat Springs, CO

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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.
Customer Dispute
March 1999
Denied
Criminal
November 1973
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Windham Financial Services, INC.
September 2016 - Present · 10 yrs 1 mo
Previous Registrations
Windham Financial Services, INC.Broker
May 2005 - October 2016 · 11 yrs 5 mos
Banc of America Investment Services, INC.Broker
October 2004 - May 2005 · 7 mos
Banc of America Investment Services, INC.
October 2004 - May 2005 · 7 mos
Quick & Reilly, INC.
September 2004 - October 2004 · 1 mo
Quick & Reilly, INC.Broker
February 2004 - October 2004 · 8 mos
Next Financial Group, INC.Broker
April 2002 - February 2004 · 1 yr 10 mos
Windham Financial Services, INC.Broker
January 1995 - April 2002 · 7 yrs 3 mos
Painewebber IncorporatedBroker
November 1993 - January 1995 · 1 yr 2 mos
Northeast Securities, INC.Broker
September 1992 - October 1993 · 1 yr 1 mo
First Montauk Securities CORP.Broker
August 1991 - April 1992 · 8 mos
Securities America, INC.Broker
May 1991 - August 1991 · 3 mos
Robert Thomas Securities, INCBroker
March 1989 - April 1991 · 2 yrs 1 mo
Prudential-Bache Securities INC.Broker
July 1988 - January 1989 · 6 mos
Josephthal & CO., IncorporatedBroker
October 1987 - June 1988 · 8 mos
Painewebber IncorporatedBroker
November 1983 - August 1987 · 3 yrs 9 mos
E. F. Hutton & Company INCBroker
May 1981 - November 1983 · 2 yrs 6 mos
State Registrations1 state
MA
Advisor

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Exams
No exam information available for this advisor.
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