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Michele Breen O'Connor

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Information

Other Names: Michele Ann Breen, Michele Ann Oconnor, Michele Breen Oconnor ...(see more)
Firm:
Type: Registered Representative
Description

Michele O'Connor is a financial professional at Morgan Stanley, a broker-dealer with over 24,300 registered representatives nationwide. Michele has held an industry securities registration for 23 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Morgan Stanley Smith Barney 5 years, 5 months Jun 2009 - Present
Citigroup Global Markets Inc. 8 years, 9 months Feb 2006 - Present
Legg Mason Wood Walker, Incorporated 14 years, 1 month Jan 1992 - Feb 2006
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 01/09/1995
Uniform Securities Agent State Law ExaminationSeries 63 08/08/1991
General Securities Representative ExaminationSeries 7 07/29/1991

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Michele Breen O'Connor has not answered any questions on Financial Q&A.

Top Guides

Michele Breen O'Connor has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

1 Customer Dispute

As of Date
11/30/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS