Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael O'Connell is a financial advisor registered with Wells Fargo Clearing Services, LLC. Michael has been in the industry since February 14, 1988. Michael is registered with the state of Pennsylvania as a broker-dealer and an investment advisor.
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.
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.
Investment consulting services to institutional clients
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.
1
2
PA
03/29/2024 - Present
Wells Fargo Clearing Services, LLC (ALLENTOWN PA)
NJ
07/02/2010 - 01/26/2024
MORGAN STANLEY (Morristown NJ)
CA
01/28/1995 - 06/10/2010
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
NY
11/25/1987 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 06/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/04/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2001
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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