Michael N. Connors

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CRD#: 1411801

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael N Connors, who also goes by Michael Neal Connors, Michael Connors, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Neal Connors | Michael Connors

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 19, 2019 - December 9, 2019

PARALLEL ADVISORS, LLC

RIA

CRD#: 140800

SAN FRANCISCO, CA

Past

May 11, 2007 - March 11, 2019

MORGAN STANLEY & CO. LLC

CRD#: 8209

SAN FRANCISCO, CA

Past

May 1, 2001 - May 8, 2007

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

August 15, 2000 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 9, 1998 - August 8, 2000

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

NEW YORK, NY

Past

October 25, 1995 - March 10, 1998

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

September 2, 1993 - July 14, 1994

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

March 26, 1991 - April 29, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 24, 1986 - January 21, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/8/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/22/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/21/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/27/2026)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael N. Connors

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARALLEL ADVISORS, LLC

MORGAN STANLEY & CO. LLC

J.P. MORGAN SECURITIES INC.

JPMSI

DAIWA CAPITAL MARKETS AMERICA INC.

ING BARING (U.S.) SECURITIES, INC.

SCHRODER & CO. INC.

CIBC WORLD MARKETS CORP.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2019

Series 63

Date: 12/21/1993

SIE

Date: 10/1/2018

Series 55

Date: 12/8/1999

Series 7

Date: 9/1/1993

Series 10

Date: 8/22/2002

Series 9

Date: 8/21/2002

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

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