John G. O'connell

JOHN G. O'CONNELL

Irvine, CA

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CRD#: 867729

Professional summary

John Glennon O'connell, who also goes by John Glennon Oconnell, is a registered financial advisor currently at JOHN G. O'CONNELL located in Irvine, California.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. John has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Glennon Oconnell

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 John Glennon O'connell'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

September 16, 2022 - Present

JOHN G. O'CONNELL

RIA

CRD#: 323103

Irvine, CA

Past

January 4, 2022 - September 23, 2022

ALDEN CAPITAL

CRD#: 7661

SAN FRANCISCO, CA

Past

June 21, 1979 - June 1, 1987

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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

California
(9/16/2022)

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: 5/25/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/10/1991

General Securities Principal Examination

Current Firm

JOHN G. O'CONNELL

JOHN G. O'CONNELL | O'CONNELL, JOHN GLENNON | O'CONNELL, JOHN G.

CRD#: 323103 / SEC#: 801-126576

RIA

Registered Investment Advisory firm - (4/28/2023 Terminated)

California

Registered Investment Advisory firm - (4/25/2023 Approved)

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

Irvine, CA

Mailing Address

Phone number

(212) 724-2506

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 24,000,000

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

John G. O'connell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Glennon O'connell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALDEN CAPITAL

J. ALDEN ASSOCIATES, INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

FSIC

FSIC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

1ST DISCOUNT BROKERAGE, INC.

ACUMENT SECURITIES, INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/1999

Series 63

Date: 4/22/1981

SIE

Date: 10/1/2018

Series 7

Date: 4/26/1979

Series 24

Date: 7/10/1991

Current Firm

JOHN G. O'CONNELL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOHN G. O'CONNELL

TRUST BUT VERIFY

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