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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy L. O'Connor is a financial advisor registered with Morgan Stanley in Houston, Texas. Timothy has been in the financial industry since 1992, and has held previous roles with UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Timothy offers a variety of services including financial planning, portfolio management, 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
08/28/2020 - Present
Morgan Stanley (Houston TX)
TX
09/26/2013 - 09/08/2020
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
07/10/2009 - 09/27/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
NJ
11/17/2000 - 08/03/2009
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MO
06/29/1992 - 11/07/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 05/15/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/11/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/11/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/26/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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