Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael John Oconnor is a financial advisor with over 20 years of experience in the financial services industry. Michael has a strong background in investment management, financial planning, and portfolio management. Michael is currently registered with Compound Planning in California and New York. Michael has previously worked at firms such as PROSPERA FINANCIAL SERVICES, INC. and Capital Brokerage Corporation.
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.
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.
A percentage of the total value of assets under management is charged.
Selection of other advisers
1
2
CA
01/01/2025 - Present
Compound Planning (Santa Rosa CA)
CA
05/06/2010 - 08/31/2016
PROSPERA FINANCIAL SERVICES, INC. (SAN FRANCISCO CA)
CA
04/01/2008 - 03/23/2010
CAPITAL BROKERAGE CORPORATION (PLEASANT HILL CA)
CA
02/09/2005 - 04/01/2008
ASSETMARK CAPITAL CORPORATION (SAN MATEO CA)
CA
01/10/2000 - 02/02/2000
FIRST SECURITY VAN KASPER, INC. (SAN FRANCISCO CA)
NJ
11/16/1999 - 01/27/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/15/1999 - 09/28/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
11/03/1998 - 07/13/1999
HOTOVEC POMERANZ & CO., INC. (SAN FRANCISCO CA)
BOTH
Issued 10/25/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2016
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2005
Series 7 - General Securities Representative Examination
Active
Inactive
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