Thomas John O'connor

CRD 3235250 · Fidelity Brokerage Services LLC · Durham, NC

IA RegisteredBroker

Also appears in the source record as: Thomas John O Connor; Thomas J O'connor IV; Thomas John O'connor IV; Thomas J Oconnor; Thomas John Oconnor IV; Thomas John Oconnor

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 10Series 9SIESeries 7
Registered states (51): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (17)

From the source registration record · current first

Strategic Advisers LLCCurrent
Lakeside Park, KY · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Lakeside Park, KY · BD capacity

Oct 28, 2016 → present
Fidelity Brokerage Services LLCCurrent
Durham, NC · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Mar 31, 2025
Strategic Advisers LLC
IA capacity

Nov 1, 2016 → Jul 13, 2018
Bb&t Investment Services, Inc.
BD capacity

Nov 2, 2015 → Sep 30, 2016
Bb&t Investment Services, Inc.
IA capacity

Nov 2, 2015 → Sep 30, 2016
Tiaa-Cref Individual & Institutional Services, LLC
BD capacity

Aug 1, 2014 → Nov 10, 2015
Tiaa-Cref Advice And Planning Services
IA capacity

Aug 1, 2014 → Nov 10, 2015
Strategic Advisers, Inc.
IA capacity

Sep 21, 2010 → Jul 24, 2014
Fidelity Brokerage Services LLC
BD capacity

Sep 14, 2010 → Jul 21, 2014
Td Ameritrade, Inc.
BD capacity

Jul 24, 2009 → Aug 23, 2010
Td Ameritrade, Inc.
IA capacity

Jul 24, 2009 → Aug 23, 2010
Amerivest Investment Management, LLC
IA capacity

Jul 24, 2009 → Aug 23, 2010
Mws Capital Consultants LLC
IA capacity

Apr 14, 2009 → Aug 5, 2009
Strategic Advisers, Inc.
IA capacity

Oct 18, 2001 → Feb 26, 2009
Fidelity Brokerage Services LLC
BD capacity

Dec 9, 1999 → Feb 17, 2009

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3235250 ↗ FINRA BrokerCheck record for CRD 3235250 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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