Thomas J. O'connor
Professional summary
Thomas John O'connor, who also goes by Thomas John O Connor, Thomas J O'connor IV, Thomas John O'connor Iv, Thomas J Oconnor, Thomas John Oconnor Iv, Thomas John Oconnor, Thomas John Iv Oconnor, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Lakeside Park, Kentucky and FIDELITY BROKERAGE SERVICES LLC located in Jacksonville, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John O'connor's CRS (Customer Relationship Summary).
Certified licenses
Education
University of Kentucky
Bachelor of Business Administration - Finance
1998
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
October 28, 2016 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4671 Town Center Pkwy, Jacksonville, FL 32246July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 1, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
November 2, 2015 - September 30, 2016
BB&T INVESTMENT SERVICES, INC.
November 2, 2015 - September 30, 2016
BB&T INVESTMENT SERVICES, INC.
August 1, 2014 - November 10, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 1, 2014 - November 10, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 21, 2010 - July 24, 2014
STRATEGIC ADVISERS LLC
September 14, 2010 - July 21, 2014
FIDELITY BROKERAGE SERVICES LLC
July 24, 2009 - August 23, 2010
TD AMERITRADE, INC.
July 24, 2009 - August 23, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 24, 2009 - August 23, 2010
TD AMERITRADE, INC.
April 14, 2009 - August 5, 2009
MWS CAPITAL CONSULTANTS LLC
October 18, 2001 - February 26, 2009
STRATEGIC ADVISERS LLC
December 9, 1999 - February 17, 2009
FIDELITY BROKERAGE SERVICES LLC
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
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(3/31/2025)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(3/31/2025)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
(10/28/2016)
Exams
FINRA
New York Stock Exchange
Current 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.
Company Information
STRATEGIC ADVISERS LLC
Benefits & Planning Consultant, Executive ServicesCRD#: 104555Lakeside Park, KYTRUST BUT VERIFY
Monitor Thomas O'connor
Get automatic monthly alerts on:
