Delores A. O'connor

STRATEGIC ADVISERS LLC

SAINT PETERS, MO

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CRD#: 2195790

Professional summary

Delores Ann O'connor, who also goes by Dee Kaufmann, Delores Ann Kaufmann, Delores Kaufmann, Dee O'connor, Delores Ann O'connor, Delores Ann Oconnor, Delores Oconnor, Delores Pini, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Saint Peters, Missouri and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.

Delores is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Delores has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) - RIA

Click below to view Delores Ann O'connor'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

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SAINT PETERS, MO

Current

August 15, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: One Destiny Way, Westlake, TX 76262

CRD#: 7784

Westlake, TX

Past

August 30, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SAINT PETERS, MO

Past

July 13, 2018 - July 16, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

January 31, 2017 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ST. LOUIS, MO

Past

December 19, 2012 - July 12, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ST. LOUIS, MO

Past

May 8, 2012 - December 12, 2012

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WESTPORT, CT

Past

July 22, 2011 - December 12, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WESTPORT, CT

Past

September 25, 2006 - September 1, 2011

ARC GROUP SECURITIES LLC

CRD#: 132026

OLD LYME, CT

Past

May 5, 2006 - May 19, 2006

INSTREAM PARTNERS LLC

CRD#: 110443

SUNNYVALE, CA

Past

April 16, 2002 - April 25, 2005

ROCKHOUSE SECURITIES LLC

CRD#: 104477

ST. LOUIS, MO

Past

August 22, 2001 - April 15, 2002

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

FT. WORTH, TX

Past

May 12, 1992 - May 9, 1995

BRIDGE TRADING COMPANY

CRD#: 6822

ST. LOUIS, MO

Past

December 17, 1991 - January 30, 1992

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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.

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

Alabama
(8/16/2022)

Alaska
(8/30/2022)

Arizona
(8/26/2022)

Arkansas
(8/17/2022)

California
(8/16/2022)

Colorado
(8/16/2022)

Connecticut
(8/16/2022)

Delaware
(8/19/2022)

District of Columbia
(8/22/2022)

Florida
(8/16/2022)

Georgia
(8/17/2022)

Hawaii
(8/16/2022)

Idaho
(8/16/2022)

Illinois
(8/24/2022)

Indiana
(8/16/2022)

Iowa
(8/18/2022)

Kansas
(8/16/2022)

Kentucky
(8/22/2022)

Louisiana
(8/22/2022)

Maine
(8/16/2022)

Maryland
(8/16/2022)

Massachusetts
(8/15/2022)

Michigan
(8/17/2022)

Minnesota
(8/16/2022)

Mississippi
(8/16/2022)

Missouri
(8/16/2022)

IAR

Missouri
(3/31/2025)

Montana
(8/16/2022)

Nebraska
(8/15/2022)

Nevada
(8/22/2022)

New Hampshire
(8/19/2022)

New Jersey
(8/17/2022)

New Mexico
(8/16/2022)

New York
(8/16/2022)

North Carolina
(8/18/2022)

North Dakota
(8/22/2022)

Ohio
(8/15/2022)

Oklahoma
(8/22/2022)

Oregon
(8/17/2022)

Pennsylvania
(8/18/2022)

Puerto Rico
(8/16/2022)

Rhode Island
(8/18/2022)

South Carolina
(8/19/2022)

South Dakota
(9/7/2022)

Tennessee
(8/15/2022)

Texas
(8/16/2022)

IAR

Texas
(3/31/2025)

Utah
(8/16/2022)

Vermont
(8/17/2022)

Virgin Islands
(8/18/2022)

Virginia
(8/16/2022)

Washington
(8/16/2022)

West Virginia
(8/18/2022)

Wisconsin
(8/16/2022)

Wyoming
(8/15/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/18/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/12/2001

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: 8/21/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2001

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	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.

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Firm Stability Insights

Delores A. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Delores Ann O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ARC GROUP SECURITIES LLC

INSTREAM PARTNERS LLC

ROCKHOUSE SECURITIES LLC

SMH CAPITAL INVESTMENTS LLC

BRIDGE TRADING COMPANY

FIRST AFFILIATED SECURITIES

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2017

Series 63

Date: 9/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2001

Series 24

Date: 10/12/2001

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

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

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

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