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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Oconnor is a financial advisor with Raymond James & Associates, Inc. based in Baton Rouge, LA. Thomas Oconnor has over 40 years of experience in the financial services industry. Thomas Oconnor is licensed to offer securities advice and investment advisory services in several states. Prior to joining Raymond James & Associates, Inc., Thomas Oconnor worked at Morgan Keegan & Company, Inc. and Smith Barney Shearson Inc. Thomas Oconnor specializes in providing financial planning, portfolio management for individuals and businesses, pension consulting, 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.
Please see note in schedule d - miscellaneous
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
LA
02/13/2013 - Present
Raymond James & Associates, Inc. (BATON ROUGE LA)
LA
09/28/1993 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (BATON ROUGE LA)
NA
08/20/1993 - 09/13/1993
MORGAN KEEGAN & COMPANY, INC.
NY
07/31/1993 - 09/07/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/30/1982 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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