JO
Joan M. O'connell
MISSIONSQUARE RETIREMENT
SAN DIEGO, CA
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CRD#: 2269352
JO
Professional summary
Joan M O'connell, CFP®, who also goes by Joan Marie Oconnell, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in San Diego, California.
Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Joan has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joan Marie Oconnell
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.
JOAN O'CONNELL TECHNICAL PUBLICATION CONSULTING, NOT IVESTMENT-RELATED. 7047 CAMINO REVUELTOS, #321, SAN DIEGO, CA. 92111. SOLE PROP. 12/2006 TO PRESENT.
HOURS/MONTH TO THE CONSULTING WOULD BE 60 HOURS PER MONTH (I'M ESTIMATING ABOUT 15 HOURS PER WEEK.) HOURS DURING TRADING HOURS: I'M ESTIMATING ABOUT 2 HOURS PER DAY DURING TRADING HOURS.
WRITING AND EDITING SOFTWARE PROCEDURES, FUNCTIONAL SPECIFICATIONS, AND HELP SYSTEMS FOR WINDOWS-BASED SOFTWARE. I REVIEW TECHNICAL DOCUMENTS FROM SOFTWARE DEVELOPERS, USE THE CUSTOMER SOFTWARE AND DECIDE HOW TO CREATE AND REVISE PROCEDURES TO HELP USERS LEARN THE SOFTWARE. I ALSO INCORPORATE SCREEN CAPTURES AND GRAPHICS IN USER MATERIALS. MY CONSULTING OCCASIONALLY INVOLVES CLIENT MEETINGS AND CONFERENCE CALLS TO DISCUSS SOFTWARE CHANGES. MY PRIMARY TOOLS ARE MS WORD,, EXCEL, ADOBE ACROBAT.
CRS (Client Relationship Summary) - RIA
Click below to view Joan M O'connell'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®
Experience
Current
December 23, 2024 - Present
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
SAN DIEGO, CA
Past
January 15, 2009 - November 29, 2023
BLUE WATER CAPITAL MANAGEMENT, LLC
RIA
CRD#: 127193
SAN DIEGO, CA
Past
July 30, 1998 - May 17, 1999
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
January 4, 1995 - January 6, 1997
NICHOLAS-APPLEGATE SECURITIES LLC
BD
CRD#: 31205
SAN DIEGO, CA
Past
August 31, 1992 - March 14, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 31, 1992 - March 14, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION
CRD#: 108783 / SEC#: 801-18273
RIA
Registered Investment Advisory firm - (1/19/1983 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.Highlighted states indicate IAR registrations
IAR
California(12/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
MR
MISSIONSQUARE RETIREMENT
ICMA RETIREMENT CORP | MISSIONSQUARE RETIREMENT | INTERNATIONAL CITY MGMT ASSOCIATION RETIREMEN | INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION | ICMA-RC | ICMA RETIREMENT CORPORATION
CRD#: 108783 / SEC#: 801-18273
RIA
Registered Investment Advisory firm - (1/19/1983 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240
Mailing Address
Phone number
(202) 962-4600
Established
Firm type
Fiscal year end
# of Employees
599
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
