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Michael Francis Oconnor

Windham Financial Services, Inc.

Steamboat Springs, CO

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Current Employers
Windham Financial Services, Inc.

Steamboat Springs, CO • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2016-10-19
  • MA RA
    APPROVED
    Since 2016-10-19

Branch Locations

Steamboat Springs, CO • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Windham Financial Services, Inc. Charlotte VT 05/2005 Present
Previous Registrations
  • 2004-10-20 → 2005-05-25
    Banc Of America Investment Services, Inc.
    Boston, MA
  • 2004-09-15 → 2004-10-20
    Quick & Reilly, Inc.
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-14
S63 Uniform Securities Agent State Law Examination 1981-05-29
  • S65 Uniform Investment Adviser Law Examination
    2016-09-14
  • S63 Uniform Securities Agent State Law Examination
    1981-05-29

View on SEC IAPD

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