Brian T. Oconnor

STERLING OAK ADVISORS

Boston, MA 02116

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CRD#: 1586804

Professional summary

Brian Thomas Oconnor, who also goes by Brian Oconnor, is a registered financial advisor currently at STERLING OAK ADVISORS located in Boston, Massachusetts.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Brian has worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Oconnor

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.

STERLING OAK ASSET MANAGEMENT, LLC 1 INTERNATIONAL PLACE 24TH FLOOR BOSTON, MA 02110 PARTNER EQUITY ANALYST STERLING OAK ASSET MANGEMENT, LLC IS A SMALL INVESTMENT MANAGEMENT COMPANY WHO SPECIALIZES IN EQUITY PORTFOLIO MANAGEMENT. THE FIRM CURRENTLY MANAGES A SINGLE PORTFOLIO. THE PORTFOLIO IS AN ENTITY OWNED BY A SMALL GROUP OF ACCREDITED INVESTORS CALLED STERLING OAK PARTNERS, LP. THE BUSINESS WAS FORMED BY BRIAN O'CONNOR AND A SINGLE PARTNER IN JULY 2007 AND HAS CONTINOUSLY OPERATED SINCE. DUTIES INCLUDE EQUITY RESEARCH, PORTFOLIO MANAGEMENT STRATEGIES DEVELOPMENT AND IMPLEMENTATION AND INVESTOR RELATIONSHIP MANAGEMENT. THE DUTIES HAVE CONSITUTED 10 HOURS OF TIME PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Oconnor's CRS (Customer Relationship Summary).

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

Current

January 6, 2010 - Present

STERLING OAK ADVISORS

Office #1: 118 Huntington Avenue Suite 1503, Boston, MA 02116

RIA

CRD#: 152267

Boston, MA

Past

August 10, 2006 - June 26, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

SHERBORN, MA

Past

August 3, 2001 - June 26, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SHERBORN, MA

Past

August 4, 1998 - August 9, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 8, 1994 - August 7, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 21, 1986 - November 22, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/6/2010)

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 66

Date: 12/4/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2001

General Securities Principal Examination

Current Firm

STERLING OAK ADVISORS

O'CONNOR, BRIAN THOMAS | STERLING OAK ASSET MANAGEMENT, LLC | STERLING OAK ADVISORS

CRD#: 152267 / SEC#:

Massachusetts

Registered Investment Advisory firm - (1/6/2010 Approved)

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Contact information

Main Address

118 Huntington Avenue Suite 1503, Boston, MA 02116

Mailing Address

118 Huntington Avenue Suite 1503, Boston, MA 02116

Phone number

(781) 992-5700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 37,500,000

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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Brian T. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Oconnor's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING OAK ADVISORS

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2009

Series 63

Date: 11/26/1986

Series 7

Date: 11/15/1986

Series 24

Date: 11/7/2001

Current Firm

STERLING OAK ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STERLING OAK ADVISORS

TRUST BUT VERIFY

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