AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MO

Michael M. Oconnor

ETICO PARTNERS
SARATOGA SPRINGS, NY 12866
Some features on this profile are disabled
CRD#: 7079764
MO

Professional summary

Michael M Oconnor, who also goes by Michael M O'connor, Michael M Oconnor, is a registered financial professional currently at ETICO PARTNERS, LLC located in Saratoga Springs, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 3 firms and has passed the Series 27 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael M O'connor | Michael M 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) - BD

Click below to view Michael M Oconnor'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®
None

Experience

Current

January 9, 2026 - Present

ETICO PARTNERS, LLC

Office #1: 85 Railroad Place Suite 101a, Saratoga Springs, NY 12866
BD
CRD#: 122481
SARATOGA SPRINGS, NY
Past

May 26, 2022 - March 28, 2024

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

September 25, 2019 - May 17, 2022

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY

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

Principal/Supervisory Exam
RR
Series 27
Date: 9/25/2019
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EP
ETICO PARTNERS, LLC
ETICO PARTNERS, LLC | M.J. WHITMAN LLC

CRD#: 122481 / SEC#: , 8-65500

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
85 Railroad Place Suite 101a, Saratoga Springs, NY 12866
Mailing Address
85 Railroad Place Suite 101a, Saratoga Springs, NY 12866
Phone number
(518) 348-0060
Established
Delaware since 05/15/2002
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ETICO FINANCIAL LLCEQUITY HOLDER OF ETICO PARTNERS, LLC
GILBERT, JOSHUA TYLERCCO6578136
LEO, JOSEPH ALBERTEXECUTIVE VP4988004
OCONNOR, MICHAEL MFINOP7079764
SANFILIPPO, ANTHONY MARKROSFP865272
WEISMAN, SCOTT ALANCEO2367813

Disclosures

Regulatory Event1

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

ETICO PARTNERS, LLC

CRD#: 122481Saratoga Springs, NY 12866

TRUST BUT VERIFY

Monitor Michael Oconnor

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jori Guzhuna
Jori GuzhunaAdvisorCheck Check Mark
GUZHUNA ASSET MANAGEMENT
IAR
NEW YORK, NY
Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Douglas Kelly
Douglas KellyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Latham, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.