Douglas W. O'connell
HIGHPOINT PLANNING PARTNERS
Bonita Springs, FL
Some features on this profile are disabled
CRD#: 4538806
Professional summary
Douglas W. O'connell, CFP® is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in Bonita Springs, Florida and LPL FINANCIAL LLC located in Bloomingdale, Illinois.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Douglas has worked at 7 firms and has passed the 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) 06/30/2016: HIGHPOINT PLANNING PARTNERS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS - HighPoint Planning Partners - INV REL - Start 06/30/2016 - 2001 Butterfield Rd., Suite 1000, Downers Grove, IL 60515 - 160 Hr/Mo; 80 Hours During Securities Trading; 100% Time Spent (2) 06/30/2016: TERM AND FIXED INSURANCE SALES - NON-VARIABLE INSURANCE - INV REL - At Reported Business Location(s) - Term, Whole Life, Fixed - 20 Hr/Mo; 10 Hours During Securities Trading; 5% Time Spent (3) 07/07/2016: HighPoint Advisor Group - Registered Investment Advisor Hybrid - INV REL - Start 06/30/2016 - 2001 Butterfield Rd., Suite 1000, Downers Grove, IL 60515 - 160 Hr/Mo; 80 Hours During Securities Trading; 100% Time Spent. (4) 6/7/2017 - Royal Palm Planning - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 06/30/2016 - 120 Hours Per Month/100 Hours During Securities Trading. (5) 8/1/2017 - HighPoint Planning Partners - Investment Related - At Reported Business Location(s) - Property and Casualty - Start 08/01/2017 - 5 Hours Per Month/1 Hour During Securities Trading - Property and Casualty Insurance. (6) 12/16/2022 - Florida Gulf Coast University - Investment Related - 10501 FGCU Blvd South, Ft. Myers, FL 33965 - Outside/W-2 Employment - Adjunct Faculty - Start Date: 01/09/2023 - 12 Hours Per Month/0 Hours During Securities Trading - Teaching. 7) 05/23/2025 - PROFESSIONAL WEALTH ADVIOSRS, LLC - investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date- 05/26/2025 - 120 Hrs/Mth - 4 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas W. O'connell'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®
CFP®
Start date: 2013
Experience
Current
December 8, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #2: 2800 W. Higgins Road, Suite 100, Hoffman Estates, IL 60169RIA
CRD#: 316636
Bonita Springs, FL
Current
June 30, 2016 - Present
LPL FINANCIAL LLC
Office #2: 2800 W. Higgins Road, Ste 100, Hoffman Estates, IL 60169RIA
BD
CRD#: 6413
Bloomingdale, IL
Past
June 30, 2016 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Bonita Springs, FL
Past
January 15, 2010 - July 11, 2016
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
SCHAUMBURG, IL
Past
January 15, 2010 - July 11, 2016
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
SCHAUMBURG, IL
Past
May 29, 2007 - January 27, 2010
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SCHAUMBURG, IL
Past
May 29, 2007 - January 27, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SCHAUMBURG, IL
Past
March 12, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
SCHAUMBURG, IL
Past
March 12, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
SCHAUMBURG, IL
Past
July 26, 2002 - April 2, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SCHAUMBURG, IL
Past
July 10, 2002 - April 2, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 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
Arizona(8/22/2024)
RR
Arkansas(3/4/2021)
RR
California(1/3/2024)
RR
Colorado(3/1/2024)
RR
Florida(6/30/2016)
IAR
Florida(1/7/2022)
RR
Illinois(6/30/2016)
IAR
Illinois(12/8/2021)
RR
Kentucky(9/4/2024)
RR
Pennsylvania(9/15/2020)
RR
Wisconsin(10/31/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
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.
