MO
Michael J. Oconnell
CLEARBRIDGE INVESTMENTS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 3151733
MO
Professional summary
Michael James Oconnell is a registered financial advisor currently at CLEARBRIDGE INVESTMENTS, LLC located in New York, New York and FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Oconnell'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®
NoneExperience
Current
December 19, 2005 - Present
CLEARBRIDGE INVESTMENTS, LLC
Office #1: One Madison Avenue 18th Floor, New York, NY 10010RIA
CRD#: 137028
NEW YORK, NY
Current
December 1, 2005 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078BD
CRD#: 109064
Short Hills, NJ
Past
September 15, 2005 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
STAMFORD, CT
Past
February 4, 2005 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 8, 2001 - September 14, 2004
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
January 27, 2000 - April 20, 2001
BUCKMAN, BUCKMAN & REID, INC.
BD
CRD#: 23407
LITTLE SILVER, NJ
Past
December 16, 1998 - February 24, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
BD
CRD#: 2398
BEVERLY HILLS, 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".
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT
CRD#: 137028 / SEC#: 801-64710
RIA
Registered Investment Advisory firm - (9/30/2005 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.RR
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
RR
Alabama(4/29/2008)
RR
Alaska(4/29/2008)
RR
Arizona(4/29/2008)
RR
Arkansas(4/29/2008)
RR
California(2/2/2007)
RR
Colorado(4/29/2008)
RR
Connecticut(12/1/2005)
RR
Delaware(4/29/2008)
RR
District of Columbia(4/29/2008)
RR
Florida(4/29/2008)
RR
Georgia(4/29/2008)
RR
Hawaii(2/2/2007)
RR
Idaho(4/29/2008)
RR
Illinois(4/29/2008)
RR
Indiana(4/29/2008)
RR
Iowa(4/29/2008)
RR
Kansas(4/29/2008)
RR
Kentucky(4/29/2008)
RR
Louisiana(4/29/2008)
RR
Maine(4/29/2008)
RR
Maryland(4/29/2008)
IAR
Maryland(8/9/2011)
RR
Massachusetts(4/29/2008)
RR
Michigan(4/29/2008)
RR
Minnesota(4/29/2008)
RR
Mississippi(4/29/2008)
RR
Missouri(4/29/2008)
RR
Montana(4/29/2008)
RR
Nebraska(4/29/2008)
RR
Nevada(4/29/2008)
RR
New Hampshire(4/29/2008)
RR
New Jersey(4/29/2008)
RR
New Mexico(4/29/2008)
RR
New York(12/1/2005)
RR
North Carolina(4/29/2008)
RR
North Dakota(4/29/2008)
RR
Ohio(4/30/2008)
RR
Oklahoma(4/29/2008)
RR
Oregon(4/29/2008)
RR
Pennsylvania(4/29/2008)
RR
Puerto Rico(4/29/2008)
RR
Rhode Island(4/29/2008)
RR
South Carolina(4/29/2008)
RR
South Dakota(4/29/2008)
RR
Tennessee(4/29/2008)
RR
Texas(4/29/2008)
RR
Utah(4/29/2008)
RR
Vermont(4/29/2008)
RR
Virgin Islands(1/3/2022)
RR
Virginia(4/29/2008)
RR
Washington(4/29/2008)
RR
West Virginia(4/29/2008)
RR
Wisconsin(4/29/2008)
RR
Wyoming(4/29/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CLEARBRIDGE INVESTMENTS, LLC
CAM NORTH AMERICA, LLC | GLOBAL CURRENTS INVESTMENT MANAGEMENT | DAVIS SKAGGS INVESTMENT MANAGEMENT | CLEARBRIDGE INVESTMENTS, LLC | CLEARBRIDGE ADVISORS, LLC | CLEARBRIDGE ADVISORS | CITIGROUP ASSET MANAGEMENT
CRD#: 137028 / SEC#: 801-64710
RIA
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Contact information
Main Address
One Madison Avenue 18th Floor, New York, NY 10010
Mailing Address
Phone number
(212) 805-2000
Established
Firm type
Fiscal year end
# of Employees
214
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 122,375 |
| AUM (Assets Under Management) | $ 180,788,611,945 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 01/24/2025 | ||
| 11/20/2023 | ||
| 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.
