Thomas Farrell O'conor

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2020-03-27
TX	RA	APPROVED	2020-03-27

MD RA
APPROVED

Since 2020-03-27
TX RA
APPROVED

Since 2020-03-27

Branch Locations

1614 E Churchville Rd Suite 104, Bel Air, MD 21015 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bel Air	MD	04/2013	03/2020
Bank Of America, N.A.	Bel Air	MD	10/2013	03/2020
Wells Fargo Advisors Financial Network, Llc	Bel Air	MD	03/2020	Present

04/2013 → 03/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bel Air, MD
10/2013 → 03/2020

Bank Of America, N.A.

Bel Air, MD
03/2020 → Present

Wells Fargo Advisors Financial Network, Llc

Bel Air, MD

Previous Registrations

2013-07-29 → 2020-03-31

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bel Air, MD

Bel Air, MD

Baltimore, MD

Other Businesses

THOMAS O'CONNOR LLC, INV RELATED, BEL AIR, MD, 100% OWNERSHIP, START 3/27/2020, 200 HOURS PER MONTH, 6.5 HOURS DURING TRADING, FINET PRACTICE. SCO WEALTH MANAGEMENT, LLC, INVT RELATED, BEL AIR, MD, 16.1% OWNERSHIP, START DATE 3/27/2020, 200 HRS PER MONTH, 6.5 HRS DURING TRADING, FINET PRACTICE.; CO-TRUSTEE FOR SCO WEALTH MANAGEMENT 401K, INV RELATED, BEL AIR, MD, START: 9/1/2020, 1 HR/MONTH, 0 HRS DURING TRADING, CO-TRUSTEE FOR FINET PRACTICE 401K; CO-TRUSTEE FOR SCO WEALTH MANAGEMENT PSP, INV RELATED, BEL AIR, MD, START: 9/1/2020, 1 HR/MONTH, 0 HRS DURING TRADING, CO-TRUSTEE FOR FINET PRACTICE PSP.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-07-26

S66 Uniform Combined State Law Examination

2013-07-26

Designations

Certified Financial Planner

Other Names

Thomas Farrell Oconor
Thomas O'COnor

View on SEC IAPD