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Detailed Report
SEAN MICHAEL O'CONNOR
SEAN MICHAEL OCONNOR
CRD#: 2025097
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3700 Embassy Parkway
Suite 340
Akron, OH 44333
Registration History
199019952000200520102015202020252 FIRMS2005 - 2006 (<1 year)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - Present (15 years)BMCDONALD INVESTMENTS INC. (CRD# 566)1994 - 2005 (10 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1994 (4 years)
Disclosure(s)
View By:
8/11/2009
Customer Dispute
Settled
10/1/2004
Customer Dispute
Settled
11/5/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/20/2018
B
New Mexico 6/1/2009
B
Arizona 6/1/2009
B
New York 6/1/2009
B
California 6/1/2009
B
North Carolina 12/16/2013
B
Colorado 7/6/2015
B
Ohio 6/1/2009
B
Connecticut 5/1/2023
IA
Ohio 6/1/2009
B
Florida 6/1/2009
B
Oregon 12/9/2020
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 7/1/2021
B
Rhode Island 11/3/2022
B
Illinois 1/8/2010
B
South Carolina 6/1/2009
B
Louisiana 3/4/2024
B
Tennessee 12/4/2024
B
Maryland 12/12/2024
B
Texas 6/1/2009
B
Massachusetts 6/1/2009
IA
Texas 4/2/2020
B
Michigan 6/1/2009
B
Utah 1/11/2018
B
Minnesota 7/11/2017
B
Virginia 6/1/2009
B
Missouri 11/12/2014
B
Washington 1/23/2014
B
Nebraska 11/12/2014
B
West Virginia 6/1/2009
B
New Hampshire 11/12/2014
B
Wisconsin 3/21/2024
B
New Jersey 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
3700 Embassy Parkway Suite 340, Akron, OH 44333
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
3700 Embassy Parkway Suite 340, Akron, OH 44333
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/14/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AKRON, OH
B
 10/10/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AKRON, OH
IA
 02/21/2006 - 10/27/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AKRON, OH
B
 02/21/2006 - 10/27/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) AKRON, OH
IA
 06/29/2005 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) AKRON, OH
B
 05/27/2005 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 09/06/1994 - 06/01/2005 MCDONALD INVESTMENTS INC. (CRD#:566) CLEVELAND, OH
B
 03/20/1990 - 10/03/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.