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Michael A. Oconnor

CRD#: 1852880
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MO
Michael Anthony Oconnor

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 Anthony Oconnor was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2014. Michael had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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 7, 2016 - December 24, 2025

MARKET TRENDS INVESTMENT MANAGEMENT

RIA
CRD#: 284479
San Rafael, CA
Past

August 26, 2014 - August 19, 2016

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Navato, CA

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/1/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/19/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2014
General Securities Representative Examination

Current Firm

MT
MARKET TRENDS INVESTMENT MANAGEMENT
MARKET TRENDS INVESTMENT MANAGEMENT | O'CONNOR, MICHAEL A.

CRD#: 284479 / SEC#:

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Contact information

Main Address
1701 Novato Blvd. St 302, Novato, CA 94949
Mailing Address
Phone number
(415) 827-8313
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
CaliforniaERA - Withdrawn8/9/2016

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.

Company Information

MARKET TRENDS INVESTMENT MANAGEMENT

CRD#: 284479

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