Neil O'connor

CRD 2242934 · Morgan Stanley · Palo Alto, CA

IA RegisteredBroker

Also appears in the source record as: Neil Oconnor

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 24SIESeries 3Series 7
Registered states (38): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2242934 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (15)

From the source registration record · current first

Morgan StanleyCurrent
Palo Alto, CA · IA capacity

May 6, 2016 → present
Lpl Financial LLC
BD capacity

Dec 15, 2010 → May 19, 2016
Lpl Financial LLC
IA capacity

Dec 15, 2010 → May 19, 2016
Cuso Financial Services, L.P.
BD capacity

Feb 20, 2004 → Dec 15, 2010
Cuso Financial Services, L.P.
IA capacity

Feb 20, 2004 → Dec 15, 2010
Wm Financial Services, Inc.
BD capacity

Jul 1, 2002 → Feb 20, 2004
Wells Fargo Investments, LLC
IA capacity

May 15, 2001 → Jun 20, 2002
Wells Fargo Investments, LLC
BD capacity

May 2, 2001 → Jun 20, 2002
Wells Fargo Securities Inc.
BD capacity

Sep 29, 1998 → May 2, 2001
Franklin/Templeton Distributors, Inc.
BD capacity

Jul 13, 1998 → Sep 18, 1998
Everen Securities, Inc.
BD capacity

Jan 12, 1994 → Jul 30, 1997
Painewebber Incorporated
BD capacity

Jan 5, 1994 → Jan 31, 1994
Charles Schwab & Co., Inc.
BD capacity

Dec 1, 1993 → Dec 22, 1993
Brown & Company Securities Corporation
BD capacity

Feb 18, 1993 → Sep 9, 1993
Waterhouse Securities, Inc.
BD capacity

Oct 1, 1992 → Dec 16, 1992

Source & corrections

Where this page comes from

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