Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames O'Connor is a financial advisor with over 25 years of experience. James has held various roles at several firms, including Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and MetLife Securities Inc. James currently holds Series 6, 7, 31, and 66 licenses. James also earned the Certified Financial Planner designation. James currently is registered with Cambridge Investment Research Advisors, Inc. and is based in Ft Pierce, FL. James specializes in working with individuals, high-net-worth individuals, and pension plans. James provides a range of financial services, including financial planning, portfolio management, and educational seminars.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
FL
12/02/2021 - Present
Cambridge Investment Research Advisors, Inc. (Ft Pierce FL)
FL
02/28/2012 - 12/23/2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED (VERO BEACH FL)
FL
06/01/2009 - 03/06/2012
MORGAN STANLEY SMITH BARNEY (VERO BEACH FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (VERO BEACH FL)
FL
02/10/2000 - 04/02/2007
MORGAN STANLEY DW INC. (STUART FL)
MA
09/24/1996 - 12/09/1999
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
09/24/1996 - 12/09/1999
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 03/09/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 02/09/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/23/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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