Terence 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.
Terence O'connor JR, who also goes by Terry O'connor, Terence Oconnor Jr, was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 2000. Terence had worked at 11 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2015 - June 21, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 11, 2015 - June 21, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 21, 2014 - November 10, 2015
CETERA INVESTMENT ADVISERS LLC
October 3, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 3, 2012 - November 10, 2015
CETERA INVESTMENT SERVICES LLC
October 21, 2011 - October 4, 2012
VALIC FINANCIAL ADVISORS, INC.
October 21, 2011 - October 4, 2012
VALIC FINANCIAL ADVISORS, INC.
May 12, 2011 - October 20, 2011
USAA INVESTMENT SERVICES COMPANY
November 5, 2010 - October 20, 2011
USAA FINANCIAL ADVISORS, INC.
March 8, 2005 - August 5, 2010
MSI FINANCIAL SERVICES, INC.
October 23, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 23, 2003 - August 5, 2010
MSI FINANCIAL SERVICES, INC.
February 19, 2002 - October 27, 2003
PARK AVENUE SECURITIES LLC
February 19, 2002 - October 27, 2003
PARK AVENUE SECURITIES LLC
August 22, 2000 - May 10, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
