Joseph D. O'connor
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.
Joseph D O'connor, who also goes by Joseph D. O'connor, Joseph Daniel Oconnor, Joe Oconnor, Joseph D Oconnor, Joseph Oconnor, Joseph D. Oconnor, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2025 - April 17, 2026
STRATEGIC ADVISERS LLC
May 9, 2024 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 17, 2024 - April 17, 2026
FIDELITY BROKERAGE SERVICES LLC
April 25, 2023 - December 18, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 3, 2023 - December 18, 2023
FIDELITY BROKERAGE SERVICES LLC
July 1, 2019 - December 8, 2022
J.P. MORGAN SECURITIES LLC
February 14, 2003 - September 14, 2007
CITIZENS SECURITIES, INC.
January 6, 2000 - September 14, 2007
CITIZENS SECURITIES, INC.
April 26, 1999 - January 11, 2000
COMMONWEALTH FINANCIAL NETWORK
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/31/2023
General Securities Representative ExaminationSeries 6TO
Date: 7/1/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
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 |
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.
