Michael B. O'connor

CAPASSO PLANNING PARTNERS LLC

Charleston, SC 29403

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CRD#: 5675878

Professional summary

Michael Brady O'connor, CFP®, who also goes by Michael Brady Oconnor, Michael Oconnor, is a registered financial advisor currently at CAPASSO PLANNING PARTNERS LLC located in Charleston, South Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Brady Oconnor | Michael Oconnor

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Brady 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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

March 8, 2023 - Present

CAPASSO PLANNING PARTNERS LLC

Office #1: 635 East Bay Street Suite C, Charleston, SC 29403

RIA

CRD#: 294673

Charleston, SC

Past

July 16, 2024 - November 13, 2024

SUMMIT FINANCIAL, LLC

RIA

CRD#: 299322

CHARLESTON, SC

Past

August 26, 2014 - March 27, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FLORHAM PARK, NJ

Past

August 6, 2014 - March 27, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FLORHAM PARK, 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".

CAPASSO PLANNING PARTNERS LLC

CRD#: 294673 / SEC#: 801-120995

RIA

Registered Investment Advisory firm - (4/28/2021 Approved)

Georgia

Registered Investment Advisory firm - (3/18/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (2/8/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/8/2022 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

New Jersey
(3/8/2023)

IAR

South Carolina
(3/8/2023)

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

IAR

Series 66

Date: 8/26/2014

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: 8/6/2014

General Securities Representative Examination

Current Firm

CAPASSO PLANNING PARTNERS LLC

CRD#: 294673 / SEC#: 801-120995

RIA

Registered Investment Advisory firm - (4/28/2021 Approved)

Georgia

Registered Investment Advisory firm - (3/18/2022 Terminated)

South Carolina

Registered Investment Advisory firm - (2/8/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/8/2022 Terminated)

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Contact information

Main Address

635 East Bay Street Suite C, Charleston, SC 29403

Mailing Address

Phone number

(843) 608-8487

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-CAPASSO PLANNING PARTNERS LLC (6/24/2025)

Regulatory assets under management

Total Number of Accounts	1,748
AUM (Assets Under Management)	$ 327,697,497

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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Michael B. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Brady O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPASSO PLANNING PARTNERS LLC

SUMMIT FINANCIAL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CAPASSO PLANNING PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2014

Current Firm

CAPASSO PLANNING PARTNERS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPASSO PLANNING PARTNERS LLC

TRUST BUT VERIFY

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