James O'connor, financial advisor Albany NY

James O'connor

CRD Number: 1249336
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James O'connor (CRD# 1249336) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Albany, NY and has over 39 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Albany, NY Dec 2009 - Current 14
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany, NY Jan 1988 - Current 36
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1984
S65 NASAA Investment Advisors Law Examination May 1996
Contact Info for James V. O'connor
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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