Michael F. O'connor

U.S. CAPITAL WEALTH ADVISORS

Andover, MA 01810

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CRD#: 2577775

Professional summary

Michael Francis O'connor, who also goes by Michael Francis Oconnor, is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Andover, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Francis 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.

1)Registered as an insurance agent which is not investment-related. Business is conducted from office at 40 Shattuck Road, Andover, MA. Sells and services fixed insurance and annuity products and spends approximately 10 hours a month on this.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis 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

August 29, 2022 - Present

U.S. CAPITAL WEALTH ADVISORS, LLC

Office #1: 40 Shattuck Road Suite 306, Andover, MA 01810

RIA

CRD#: 288199

Andover, MA

Past

November 19, 2018 - September 8, 2022

PINNACLE PRIVATE WEALTH, LLC

RIA

CRD#: 170315

BURLINGTON, MA

Past

November 19, 2018 - December 1, 2022

TRIAD ADVISORS LLC

CRD#: 25803

Andover, MA

Past

November 14, 2018 - November 21, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ANDOVER, MA

Past

February 21, 2003 - December 31, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ANDOVER, MA

Past

May 23, 2002 - November 21, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ANDOVER, MA

Past

December 14, 1998 - May 15, 2002

RYAN FINANCIAL, INC.

CRD#: 39617

ANDOVER, MA

Past

January 31, 1997 - July 24, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

January 27, 1995 - January 30, 1997

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 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

Massachusetts
(2/27/2023)

IAR

Texas
(8/29/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/30/1995

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: 12/10/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC

CRD#: 288199 / SEC#: 801-110515

RIA

Registered Investment Advisory firm - (5/3/2017 Approved)

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Contact information

Main Address

4444 Westheimer Rd. Suite G500, Houston, TX 77027

Mailing Address

Phone number

(713) 366-0500

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

USCWA ADV PART 2A MARCH 28, 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	10,833
AUM (Assets Under Management)	$ 7,282,480,817

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
01/23/2024	Cover Page	Report
03/24/2023	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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Michael F. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE PRIVATE WEALTH, LLC

TRIAD ADVISORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RYAN FINANCIAL, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

U.S. CAPITAL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1999

Series 63

Date: 3/30/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/10/1998

Series 6

Date: 1/26/1995

Current Firm

U.S. CAPITAL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

U.S. CAPITAL WEALTH ADVISORS, LLC

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