AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MO

Michael P. Oconnell

FORIS CAPITAL US LLC
Portsmouth, NH
Some features on this profile are disabled
CRD#: 1943113
MO

Professional summary

Michael Patrick Oconnell is a registered financial professional currently at FORIS CAPITAL US LLC located in Portsmouth, New Hampshire.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 10 firms and has passed the Series 63, Series 79TO, Series 82TO, Series 72, SIE, Series 3, Series 7, Series 6, Series 4 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Michael Patrick Oconnell's CRS (Customer Relationship Summary).
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

April 22, 2021 - Present

FORIS CAPITAL US LLC

BD
CRD#: 282331
Portsmouth, NH
Past

January 21, 2016 - February 10, 2021

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

January 2, 2015 - January 4, 2016

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

November 29, 2010 - January 2, 2015

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

April 26, 2001 - November 8, 2010

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

September 6, 2000 - May 2, 2001

BSE BOND CONNECT, LLC

BD
CRD#: 100080
BOSTON, MA
Past

September 19, 1995 - October 6, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 5, 1991 - August 11, 1995

SANWA UNIVERSAL SECURITIES CO., LLC

BD
CRD#: 8427
NEW YORK, NY
Past

April 20, 1990 - August 11, 1995

SANWA SECURITIES (USA) CO., L.P.

BD
CRD#: 19697
NEW YORK, NY
Past

May 30, 1989 - March 26, 1990

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/8/2025)
RR
Alaska
(1/8/2025)
RR
Arizona
(12/18/2024)
RR
Arkansas
(1/8/2025)
RR
California
(10/20/2022)
RR
Colorado
(12/20/2024)
RR
Connecticut
(4/22/2021)
RR
Delaware
(1/8/2025)
RR
District of Columbia
(1/8/2025)
RR
Florida
(6/6/2022)
RR
Georgia
(1/8/2025)
RR
Hawaii
(1/8/2025)
RR
Idaho
(1/8/2025)
RR
Illinois
(1/8/2025)
RR
Indiana
(1/8/2025)
RR
Iowa
(1/8/2025)
RR
Kansas
(1/8/2025)
RR
Kentucky
(1/8/2025)
RR
Louisiana
(12/20/2024)
RR
Maine
(1/8/2025)
RR
Maryland
(1/8/2025)
RR
Massachusetts
(9/29/2022)
RR
Michigan
(1/8/2025)
RR
Minnesota
(1/8/2025)
RR
Mississippi
(1/8/2025)
RR
Missouri
(1/8/2025)
RR
Montana
(1/8/2025)
RR
Nebraska
(1/8/2025)
RR
Nevada
(1/8/2025)
RR
New Hampshire
(8/5/2024)
RR
New Jersey
(12/18/2024)
RR
New Mexico
(1/8/2025)
RR
New York
(9/29/2022)
RR
North Carolina
(9/29/2022)
RR
North Dakota
(1/8/2025)
RR
Ohio
(12/19/2024)
RR
Oklahoma
(1/8/2025)
RR
Oregon
(1/8/2025)
RR
Pennsylvania
(12/18/2024)
RR
Puerto Rico
(5/12/2022)
RR
Rhode Island
(1/8/2025)
RR
South Carolina
(1/8/2025)
RR
South Dakota
(1/11/2024)
RR
Tennessee
(5/12/2022)
RR
Texas
(6/6/2022)
RR
Utah
(12/18/2024)
RR
Vermont
(1/8/2025)
RR
Virgin Islands
(1/8/2025)
RR
Virginia
(1/8/2025)
RR
Washington
(12/18/2024)
RR
West Virginia
(1/8/2025)
RR
Wisconsin
(1/8/2025)
RR
Wyoming
(1/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/25/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/16/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/26/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/2/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FORIS CAPITAL US LLC
FORIS CAPITAL US LLC | WATCHDOG CAPITAL, LLC

CRD#: 282331 / SEC#: , 8-69712

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
210 Commerce Way Suite 220, Portsmouth, NH 03801
Mailing Address
210 Commerce Way Suite 220, Portsmouth, NH 03801
Phone number
(603) 956-5649
Established
Georgia since 11/02/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORIS DAX MARKETS, INC.MEMBER
FIALA, ANGELA MARIAFINOP/PFO/POO5163386
MATHEWS, RENOCCO7040844
OCONNELL, MICHAEL PATRICKCEO1943113

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

FORIS CAPITAL US LLC

CRD#: 282331Portsmouth, NH

TRUST BUT VERIFY

Monitor Michael Oconnell

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.