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David Michael O'Connor

Edward Jones

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About David Michael O'Connor

David Michael O'Connor is an investment advisor representative at Edward Jones. David has been working in the securities industry since February 15, 1990. David is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 3, 7, 9, 10, 63 and 66 licenses. David has a strong background in financial planning, pension consulting, selection of other advisors, and portfolio management for individuals and businesses. David is committed to providing personalized financial advice to help clients achieve their financial goals.

Firm Information

David O'Connor is currently registered with Edward Jones. Edward Jones is a financial services firm headquartered in St. Louis, Missouri, that offers investment management and financial planning services to individuals, families, and businesses. Founded in 1941, the firm has a nationwide network of over 19,832 licensed agents and 22,210 registered representatives. Edward Jones manages approximately $10 billion to $50 billion in assets for a variety of clients, including high-net-worth individuals, corporations, and pension plans. The firm provides a range of advisory services, including portfolio management for individuals and businesses, pension consulting, and financial planning. Edward Jones is registered with the Securities and Exchange Commission and holds licenses in all 50 states, the District of Columbia, and Puerto Rico.
Edward Jones

12555 MANCHESTER RD

ST. LOUIS, MO 63131

$824.99B

Assets Under Management

27,895

Total Clients

22,064

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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David O'Connor’s Registration & Firm History

CT

08/26/2014 - Present

Edward Jones (Madison CT)

NY

07/31/1993 - 10/30/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

08/13/1991 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

MA

02/21/1990 - 03/14/1991

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

02/21/1990 - 03/14/1991

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

NA

11/23/1988 - 04/27/1989

THE STUART-JAMES COMPANY, INCORPORATED

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Licenses & Designations

BOTH

Issued 01/19/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/06/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/10/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/29/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/1991

Series 3 - National Commodity Futures Examination

BC

Issued 11/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for David Michael O'Connor. Review regulatory record here.
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