MO
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Michael Oconnor
43 Years of Experience
Steamboat Springs, CO
2 Disclosures
Michael Oconnor is a registered investment advisor at Windham Financial Services, INC., based in Steamboat Springs, CO, with 43 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. Their firm serves 40 clients with $14M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
Number of Clients
40 clients
Average Client Portfolio
$342K average
Assets Under Management
$13.7M
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fees are negotiable and discounts depend on assets under management, product mix, asset allocation, complexity of investment strategies, and client investment objectives.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Steamboat Springs, CO
Get directionsHistory
Regulatory History (2)
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Customer Dispute
March 1999Denied
Criminal
November 1973Final Disposition
Employment History
Current Registrations
Windham Financial Services, INC.
September 2016 - Present · 9 yrs 8 mos
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
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.