James Philip O'COnnor

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2012 → 12/2021
  Stifel, Nicolaus & Company, Incorporated
  Vero Beach, FL
• 12/2021 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 12/2021 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2012-02-28 → 2021-12-23
  Stifel, Nicolaus & Company, Incorporated
  Vero Beach, FL
• 2009-06-01 → 2012-03-06
  Morgan Stanley
  Vero Beach, FL
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Vero Beach, FL
  Stuart, FL
• 2000-02-10 → 2007-04-02
  Morgan Stanley Dw Inc.
  Stuart, FL
  Stuart, FL

Other Businesses

1. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 160 HR/MO TRADING. START DATE: 12/01/2021 2. JAMES P O'CONNOR AGENT, 1004 Ibis Ave, Fort Pierce FL 34982-8315, United States, START DATE: 12/01/2021, Insurance Agent, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO - 2 HR/MO TRADING 3. ROTARY, Fort Pierce FL 34949, United States, 06/29/2023, Member, Networking, NIR, 4 HR/MO - 0 HR/MO TRADING 4. OAKEN SHIELD WEALTH MANAGEMENT, 1004 IBIS AVE, FORT PIERCE FL 34982, CEO, USING A DBA, INV REL, 160 HR/MO, 120/TRADING

Exams

• S66 Uniform Combined State Law Examination
  2000-03-09
• S63 Uniform Securities Agent State Law Examination
  1997-04-21

Designations

• Certified Financial Planner

Other Names

• James P Occonnor
• James P Oconner
• James Philip Oconnor