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Michael J. O'connor

Some features on this profile are disabled
CRD#: 6400340
MO

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.

Michael James O'connor, who also goes by Michael O'connor, Michael James Oconnor, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2015. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael O'connor | Michael James 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 27, 2025 - January 21, 2026

POLEN CAPITAL MANAGEMENT, LLC

RIA
CRD#: 106093
San Francisco, CA
Past

March 26, 2025 - March 26, 2025

POLEN CAPITAL MANAGEMENT, LLC

RIA
CRD#: 106093
San Francisco, CA
Past

March 13, 2025 - January 21, 2026

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

January 4, 2021 - February 18, 2025

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

December 20, 2016 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

December 1, 2015 - February 18, 2025

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA

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".
PC
POLEN CAPITAL MANAGEMENT, LLC
POLEN CAPITAL MANAGEMENT, INC. | POLEN CAPITAL MANAGEMENT, LLC

CRD#: 106093 / SEC#: 801-15180

RIA
Registered Investment Advisory firm - (4/7/1980 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/25/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/1/2015
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PC
POLEN CAPITAL MANAGEMENT, LLC
POLEN CAPITAL MANAGEMENT, INC. | POLEN CAPITAL MANAGEMENT, LLC

CRD#: 106093 / SEC#: 801-15180

RIA
Registered Investment Advisory firm - (4/7/1980 Approved)
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Contact information

Main Address
1825 Nw Corporate Blvd. Suite 300, Boca Raton, FL 33431
Mailing Address
Phone number
+1 (561) 241-2425
Established
Firm type
Fiscal year end
# of Employees
229

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

POLEN REVISED FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,732
AUM (Assets Under Management)$ 37,703,918,773

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.

Company Information

POLEN CAPITAL MANAGEMENT, LLC

CRD#: 106093

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