Michael F. Oconnor

WINDHAM FINANCIAL SERVICES

Steamboat Springs, CO

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CRD#: 730847

Professional summary

Michael Francis Oconnor is a registered financial advisor currently at WINDHAM FINANCIAL SERVICES, INC. located in Steamboat Springs, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Michael has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Oconnor'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

September 22, 2016 - Present

WINDHAM FINANCIAL SERVICES, INC.

RIA

CRD#: 35307

Steamboat Springs, CO

Past

May 31, 2005 - October 31, 2016

WINDHAM FINANCIAL SERVICES, INC.

CRD#: 35307

SCITUATE, MA

Past

October 20, 2004 - May 25, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BOSTON, MA

Past

October 20, 2004 - May 25, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 15, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

BOSTON, MA

Past

February 20, 2004 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

April 15, 2002 - February 23, 2004

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

January 18, 1995 - April 19, 2002

WINDHAM FINANCIAL SERVICES, INC.

CRD#: 35307

CHARLOTTE, VT

Past

November 15, 1993 - January 17, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 8, 1992 - October 13, 1993

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

August 8, 1991 - April 21, 1992

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

May 8, 1991 - August 6, 1991

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

March 14, 1989 - April 15, 1991

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

July 18, 1988 - January 9, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

October 15, 1987 - June 1, 1988

JSC SECURITIES, INC.

CRD#: 475

Past

November 18, 1983 - August 11, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 18, 1981 - November 17, 1983

E. F. HUTTON & COMPANY INC

CRD#: 235

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

Massachusetts
(10/19/2016)

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 65

Date: 9/14/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/7/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

WINDHAM FINANCIAL SERVICES, INC.

CRD#: 35307 / SEC#: 801-70351, 8-46646

RIA

Registered Investment Advisory firm - SEC (4/30/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (11/5/2019 Approved)

Connecticut

Registered Investment Advisory firm - SEC (10/4/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/7/2014 Approved)

New Jersey

Registered Investment Advisory firm - SEC (5/31/2019 Terminated)

New York

Registered Investment Advisory firm - SEC (12/2/2024 Terminated)

Vermont

Registered Investment Advisory firm - SEC (11/8/1994 Approved)

Terminated by SEC on 12/30/2016

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).

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Contact information

Main Address

Steamboat Springs, CO

Mailing Address

P.o. Box 775167, Steamboat Springs, CO 80477-5167

Phone number

(802) 488-4400

Established

Vermont since 04/18/1997

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MENDELSOHN, PAUL DAVID	PRESIDENT	2011585
MENDELSOHN, PAUL DAVID	CHIEF COMPLIANCE OFFICER	2011585
MENDELSOHN, PAUL DAVID	FINOP	2011585
MENDELSOHN, PAUL DAVID	OPERATIONS PROFESSIONAL	2011585
MENDELSOHN, KAREN	SECRETARY	5852242

Regulatory assets under management

Total Number of Accounts	58
AUM (Assets Under Management)	$ 13,675,428

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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Firm Stability Insights

Michael F. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Francis Oconnor's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINDHAM FINANCIAL SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

NEXT FINANCIAL GROUP, INC.

WINDHAM FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

NORTHEAST SECURITIES, LLC

FIRST MONTAUK SECURITIES CORP.

SECURITIES AMERICA, INC.

ROBERT THOMAS SECURITIES, INC

PRUDENTIAL EQUITY GROUP, LLC

JSC SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/2016

Series 63

Date: 5/29/1981

SIE

Date: 10/31/2016

Series 7

Date: 5/16/1981

Series 8

Date: 5/7/1985

Current Firm

WINDHAM FINANCIAL SERVICES, INC.

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

WINDHAM FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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