James W. Oconnor

Some features on this profile are disabled

CRD#: 1561375

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.

James William Oconnor was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1995. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 20, 2016 - October 2, 2020

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

January 11, 2010 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ATLANTA, GA

Past

December 8, 2008 - October 2, 2020

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

January 2, 2001 - May 5, 2008

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

January 7, 2000 - September 29, 2000

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

August 22, 1997 - January 6, 2000

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

November 9, 1995 - August 15, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

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".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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: 12/29/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/8/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/5/1996

General Securities Principal Examination

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James W. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

FSC SECURITIES CORPORATION

EQUITY SERVICES, INC.

THE LEADERS GROUP, INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2009

Series 63

Date: 1/5/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/8/1995

Series 24

Date: 1/5/1996

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors