Melissa G. 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.
Melissa Gayle O'connor, who also goes by Melissa Gayle O'connor, Melissa O'connor, Melissa Gayle Oconnor, Melissa Gayle Tharp, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 2010. Melissa had worked at 6 firms and has passed the Series 65, Series 66, SIE 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
January 14, 2025 - August 19, 2025
COMPREHENSIVE FINANCIAL CONSULTANTS
May 1, 2017 - December 18, 2020
LPL FINANCIAL LLC
May 1, 2017 - December 18, 2020
LPL FINANCIAL LLC
February 3, 2017 - April 25, 2017
SIGNATOR INVESTORS, INC.
February 3, 2017 - April 25, 2017
SIGNATOR INVESTORS, INC.
December 7, 2015 - January 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 7, 2015 - January 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 2011 - November 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2011 - November 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 5, 2011 - December 12, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 5, 2011 - December 12, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 23, 2010 - August 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2010 - August 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
COMPREHENSIVE FINANCIAL CONSULTANTS
CRD#: 310603 / SEC#: 801-131561
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
COMPREHENSIVE FINANCIAL CONSULTANTS
CRD#: 310603 / SEC#: 801-131561
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 904 |
| AUM (Assets Under Management) | $ 139,984,370 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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