Thomas N. O'connor

MARINER

VERO BEACH, FL

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CRD#: 4374733

Professional summary

Thomas Neal O'connor is a registered financial advisor currently at MARINER located in Vero Beach, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 63, Series 65, Series 66, 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.

(1) O'Connor, Carnathan and Mack; not investment-related; 1 Van de Graaf, Ste 104 Burlington MA 01803; Legal; Of Counsel; Start date: 01/2020; Approximately 5 hours per month, zero hours during securities trading hours; Of Counsel to a O'Connor, Carnathan and Mack, a law firm. (2) Apex Quantitative Group, LLC; Investment related; Chicago, IL; Investment; Investor; Start Date: 02/2020; Approximately 2 hours per month, 2 hours during securities trading hours; Investor in a quantitative investment manager that offers its quantitative models to private investors and institutions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Neal O'connor'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

February 11, 2010 - Present

MARINER

Office #2: One Marina Park Drive 16th Floor, Boston, MA 02210

RIA

CRD#: 151664

VERO BEACH, FL

Past

August 3, 2020 - November 25, 2024

CATALYST FINANCIAL PARTNERS

RIA

CRD#: 299335

BOSTON, MA

Past

March 25, 2017 - November 1, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BOSTON, MA

Past

March 25, 2017 - November 1, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

BOSTON, MA

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BOSTON, MA

Past

January 2, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BOSTON, MA

Past

May 8, 2009 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

BOSTON, MA

Past

April 3, 2009 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

BOSTON, MA

Past

April 15, 2003 - December 10, 2008

INVESTORS CAPITAL CORP.

CRD#: 30613

BOSTON, MA

Past

April 20, 2000 - November 24, 2008

SILVERCREST ASSET MANAGEMENT GROUP LLC

RIA

CRD#: 109306

BOSTON, MA

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".

MARINER

BAYSTATE WEALTH MANAGEMENT | MARINER | BAYSTATE WEALTH MANAGEMENT LLC

CRD#: 151664 / SEC#: 801-71691

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2010 Terminated)

Rhode Island

Registered Investment Advisory firm - (7/29/2010 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

Florida
(5/4/2023)

IAR

Massachusetts
(2/11/2010)

IAR

Texas
(12/23/2015)

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

Series 63

Date: 4/10/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/3/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/12/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/14/2003

General Securities Representative Examination

Current Firm

MARINER

BAYSTATE WEALTH MANAGEMENT | MARINER | BAYSTATE WEALTH MANAGEMENT LLC

CRD#: 151664 / SEC#: 801-71691

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2010 Terminated)

Rhode Island

Registered Investment Advisory firm - (7/29/2010 Terminated)

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Contact information

Main Address

5700 West 112th Street Suite 500, Overland Park,, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX I WRAP FEE PROGRAM (3/28/2025)

BAYSTATE WEALTH MANAGMENT, LLC. ADV PART2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,559
AUM (Assets Under Management)	$ 2,352,770,746

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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Thomas N. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Neal O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

CATALYST FINANCIAL PARTNERS

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

INVESTORS CAPITAL CORP.

SILVERCREST ASSET MANAGEMENT GROUP LLC

Primary Firm SEC Registration

MARINER

State Registrations and Notice Filings

Exams

Series 63

Date: 4/10/2009

Series 65

Date: 3/3/2000

Series 66

Date: 8/12/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/14/2003

Current Firm

MARINER

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARINER

TRUST BUT VERIFY

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