MM
Michael R. Mcconnell
CETERA INVESTMENT ADVISERS LLC
HINGHAM, MA 02043
Some features on this profile are disabled
CRD#: 4043109
MM
Professional summary
Michael Robert Mcconnell, who also goes by Mike Mcconnell, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hingham, Massachusetts and CETERA WEALTH SERVICES, LLC located in Hingham, Massachusetts.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Mcconnell
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) MCCONNELL & CO., INC PRIVATE CLIENTS GROUP POSITION: PRESIDENT NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 08/15/2002 ADDRESS: Hingham MA , United States DESCRIPTION: Provide financial services to clients 2) HERITAGE MORTGAGE CO, INC POSITION: MANAGER NATURE: MORTGAGE COMPANY INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 07/01/1998 ADDRESS:Hingham MA , United States DESCRIPTION: 10% OF TIME DEVOTED TO BUSINESS; HELP WITH MANAGEMENT DECISIONS. 3) BOARD OF TRUSTEE OF CONDO ASSOCIATION POSITION: TRUSTEE NATURE: CONDOMINIUM ASSOCATION INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2006 ADDRESS: Hingham MA 02043, United States DESCRIPTION: HOA 4) LIFE INSURANCE POSITION: AGENT NATURE: Crump Life Insurance Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/12/2012 ADDRESS: Hingham MA 02043, United States DESCRIPTION: Selling agent 5) MCCONNELL & CO. POSITION: PRESIDENT NATURE: CPA firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/01/2002 DESCRIPTION: CPA firm 6) MCCONNELL & CO., INC. WEALTH MANAGEMENT POSITION: President NATURE: financial services INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/29/2016 ADDRESS: Hingham MA , United States DESCRIPTION: Provide financial services to clients
CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Mcconnell'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 175 Derby Street Suite 40, Hingham, MA 02043RIA
CRD#: 105644
HINGHAM, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 175 Derby Street Suite 36, Hingham, MA 02043BD
CRD#: 13572
HINGHAM, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HINGHAM, MA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HINGHAM, MA
Past
October 16, 2002 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
HINGHAM, MA
Past
July 30, 2002 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
HINGHAM, MA
Past
November 5, 1999 - August 16, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Mexico(11/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Hingham, MA 02043TRUST BUT VERIFY
Monitor Michael Mcconnell
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
