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MICHAEL GEORGE O'CONNELL
MICHAEL GEORGE OCONNELL
CRD#: 1770006
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 4905 W TILGHMAN ST STE 350
ALLENTOWN, PA 18104
Registration History
199019952000200520102015202020252 FIRMS2010 - 2024 (13 years)2 FIRMS2024 - Present (<1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - 2010 (15 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1987 - 1995 (7 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - 2010 (12 years)
Disclosure(s)
View By:
9/11/2003
Customer Dispute
Settled
10/15/2002
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 4/2/2024

B
Maryland 4/2/2024

B
Colorado 3/29/2024

B
Massachusetts 3/29/2024

B
Connecticut 4/1/2024

B
New Jersey 4/1/2024

B
Delaware 4/8/2024

B
Pennsylvania 3/29/2024

B
Illinois 4/4/2024

IA
Pennsylvania 3/29/2024

B
Indiana 3/29/2024

B
Utah 3/29/2024

B
Kansas 3/29/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
4905 W TILGHMAN ST STE 350, ALLENTOWN, PA 18104
4905 W TILGHMAN ST STE 350 [DA-RBO], ALLENTOWN, PA 18104
Registered with this firm since 3/29/2024

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
4905 W TILGHMAN ST STE 350, ALLENTOWN, PA 18104
4905 W TILGHMAN ST STE 350 [DA-RBO], ALLENTOWN, PA 18104
Registered with this firm since 3/28/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/02/2010 - 01/26/2024 MORGAN STANLEY (CRD#:149777) Morristown, NJ
B
07/02/2010 - 01/26/2024 MORGAN STANLEY (CRD#:149777) Morristown, NJ
IA
07/08/1997 - 06/10/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
B
01/28/1995 - 06/10/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
B
11/25/1987 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.