Michael J. Oconnor

COMPOUND PLANNING

Santa Rosa, CA

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CRD#: 3104084

Professional summary

Michael John Oconnor, who also goes by Mike O'connor, is a registered financial advisor currently at COMPOUND PLANNING, INC. located in Santa Rosa, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike O'connor

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 Michael John Oconnor'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 1, 2024 - Present

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Santa Rosa, CA

Past

June 22, 2022 - February 21, 2024

CONCENTRIC

RIA

CRD#: 321633

WALNUT CREEK, CA

Past

December 19, 2019 - December 31, 2020

ADVISOR PARTNERS, LLC

RIA

CRD#: 114536

WALNUT CREEK, CA

Past

May 6, 2010 - August 31, 2016

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

SAN FRANCISCO, CA

Past

May 5, 2010 - October 10, 2019

ASSEMBLY WEALTH

RIA

CRD#: 108834

MILL VALLEY, CA

Past

March 13, 2009 - March 23, 2010

ASSETMARK, INC.

RIA

CRD#: 109018

PLEASANT HILL, CA

Past

April 1, 2008 - March 23, 2010

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

PLEASANT HILL, CA

Past

February 9, 2005 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

CRD#: 37583

SAN MATEO, CA

Past

October 15, 2002 - June 27, 2003

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

RIA

CRD#: 109355

SAN FRANCISCO, CA

Past

January 10, 2000 - February 2, 2000

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

November 16, 1999 - January 27, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 15, 1999 - September 28, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 3, 1998 - July 13, 1999

HOTOVEC, POMERANZ & CO., LLC

CRD#: 41178

SAN FRANCISCO, 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".

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(3/1/2024)

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 66

Date: 10/25/2004

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/8/2005

General Securities Representative Examination

Current Firm

COMPOUND PLANNING, INC.

CRD#: 171787 / SEC#: 801-126007

RIA

Registered Investment Advisory firm - (7/1/2022 Approved)

California

Registered Investment Advisory firm - (8/13/2022 Terminated)

Ohio

Registered Investment Advisory firm - (7/14/2022 Terminated)

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Contact information

Main Address

115 Broadway 5th Floor, New York, NY 10006

Mailing Address

169 Madison Avenue Suite 15201, New York, NY 10016

Phone number

(888) 533-9364

Established

Firm type

Fiscal year end

# of Employees

104

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COMPOUND PLANNING-FORM ADV, PART 2A BROCHURE (9/29/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 3,025,356,111

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

Michael J. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Oconnor's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCENTRIC

ADVISOR PARTNERS, LLC

PROSPERA FINANCIAL SERVICES, INC.

ASSEMBLY WEALTH

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

ASSETMARK CAPITAL CORPORATION

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

WELLS FARGO SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

HOTOVEC, POMERANZ & CO., LLC

Primary Firm SEC Registration

COMPOUND PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2004

Series 65

Date: 7/22/1999

Series 63

Date: 9/8/1998

SIE

Date: 8/31/2016

Series 7

Date: 2/8/2005

Current Firm

COMPOUND PLANNING, INC.

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPOUND PLANNING, INC.

TRUST BUT VERIFY

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