Thomas P. O Connor
KEEL POINT
Huntsville, AL 35801
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CRD#: 5548224
Professional summary
Thomas Patrick O Connor, CFP® is a registered financial advisor currently at KEEL POINT, LLC located in Huntsville, Alabama and KEEL POINT CAPITAL, LLC located in Huntsville, Alabama.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 2 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)Camp ASCCA, 5278 Camp ASCCA Dr., Jackson's Gap, AL 36861, started 7/2017, 1 hour a month, 0 hours during securities trading hours, non-investment related, Board Member, Camp for special needs children and adults, Advisory board providing oversight of camp leadership and overall advocacy of the camp. 2)Theta Chi Fraternity Foundation, 865 W Carmel Drive, started 1/2016, Investment Committee, .5 hours a month, .5 hours during securities trading hours, Social fraternity endowment investment committee, Providing oversight to the investment manager of the endowment.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Patrick O Connor'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 20, 2011 - Present
KEEL POINT, LLC
Office #1: 100 Church Street Suite 500, Huntsville, AL 35801RIA
CRD#: 127902
Huntsville, AL
Current
September 7, 2011 - Present
KEEL POINT CAPITAL, LLC
Office #1: 100 Church Street Suite 500, Huntsville, AL 35801BD
CRD#: 6769
Huntsville, AL
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".
KP
KEEL POINT, LLC
BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC
CRD#: 127902 / SEC#: 801-62249
RIA
Registered Investment Advisory firm - (8/1/2003 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
Alabama(12/20/2011)
IAR
Alabama(12/20/2011)
RR
Arkansas(1/9/2014)
RR
California(2/14/2014)
IAR
California(4/19/2017)
RR
Colorado(12/17/2015)
RR
Florida(1/24/2014)
IAR
Florida(6/28/2017)
RR
Georgia(12/20/2011)
IAR
Georgia(1/23/2019)
RR
Illinois(4/19/2016)
IAR
Illinois(4/20/2017)
RR
Maryland(5/15/2014)
IAR
Maryland(5/15/2014)
RR
Nebraska(5/15/2014)
IAR
Nebraska(2/24/2020)
RR
North Carolina(3/1/2016)
IAR
North Carolina(3/1/2016)
RR
South Carolina(11/6/2014)
IAR
South Carolina(4/20/2018)
RR
Tennessee(9/30/2014)
IAR
Texas(4/2/2018)
RR
Virginia(3/19/2015)
IAR
Virginia(4/20/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KEEL POINT, LLC
BLUE CREEK | KEEL POINT, LLC | KEEL POINT CAPITAL, LLC | GRANITE FINANCIAL PARTNERS | BLUE CREEK INVESTMENT PARTNERS, LLC
CRD#: 127902 / SEC#: 801-62249
RIA
Registered Investment Advisory firm - (8/1/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Church Street Suite 500, Huntsville, AL 35801
Mailing Address
Phone number
(256) 704-5111
Established
Firm type
Fiscal year end
# of Employees
76
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,626 |
| AUM (Assets Under Management) | $ 3,464,607,203 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
