Charles T. O'connor

O'CONNOR FINANCIAL GROUP

Royal Oak, MI

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CRD#: 5204238

Professional summary

Charles Thomas O'connor SR., who also goes by Charles T O'connor Sr., Chuck O'connor, Charles T Oconnor Sr, is a registered financial advisor currently at O'CONNOR FINANCIAL GROUP, LLC located in Royal Oak, Michigan and LPL FINANCIAL LLC located in Royal Oak, Michigan.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Charles has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles T O'connor Sr. | Chuck O'connor | Charles T Oconnor Sr

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. 7/25/2011: REGISTERED INVESTMENT ADVISOR DBA - O'CONNOR FINANCIAL GROUP, LLC - ASSET MANAGEMENT, FINANCIAL PLANNING. - TIME SPENT 40% - ROYAL OAK, MI. 2. 12/13/2012: DBA ONLY / O'CONNOR FINANCIAL GROUP LLC / TIME SPENT 1%/ ROYAL OAK, MI. 3. 12/11/2013: NON-VARIABLE INSURANCE - O'CONNOR FINANCIAL GROUP, L.L.C. - LICENSED IN THE STATE OF MICHIGAN TO SELL LIFE INSURANCE AND ANNUITIES. - TIME SPENT 1% - ROYAL OAK, MI. 4. 04/07/2016 * Other - NOTARY * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * START 04/01/2016 * Notarizing Documents * 0 HRS/MO.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Thomas O'connor SR.'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®

None

Experience

Current

April 13, 2011 - Present

O'CONNOR FINANCIAL GROUP, LLC

RIA

CRD#: 156164

Royal Oak, MI

Current

December 15, 2010 - Present

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROYAL OAK, MI

Past

December 22, 2010 - December 21, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROYAL OAK, MI

Past

December 14, 2006 - December 17, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NOVI, MI

Past

November 8, 2006 - December 17, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NOVI, MI

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.

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

Illinois
(12/15/2010)

Michigan
(12/15/2010)

IAR

Michigan
(4/13/2011)

Ohio
(12/15/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/13/2006

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: 11/7/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

O'CONNOR FINANCIAL GROUP, LLC

CRD#: 156164 / SEC#:

Michigan

Registered Investment Advisory firm - (4/6/2011 Approved)

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Contact information

Main Address

Royal Oak, MI

Mailing Address

Phone number

(248) 719-1900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	304
AUM (Assets Under Management)	$ 59,920,476

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Charles T. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

O'CONNOR FINANCIAL GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2006

FINRA

Current Firm

O'CONNOR FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

O'CONNOR FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

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