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Detailed Report
PATRICK JAMES OCONNOR
PATRICK JAMES O'CONNOR
CRD#: 5335422
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 55 EAST LOOP ROAD
SUITE 101
WHEATON, IL 60189
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2016 (8 years)2 FIRMS2007 - 2016 (8 years)2 FIRMS2016 - Present (9 years)
License(s)

State Registrations

B
Arizona 10/8/2024
B
Iowa 8/24/2018
B
California 8/20/2018
B
Kentucky 2/27/2022
B
Colorado 1/3/2018
B
Michigan 11/29/2018
B
District of Columbia 1/3/2018
B
Montana 10/16/2023
B
Florida 10/28/2019
B
New Mexico 3/26/2020
B
Georgia 9/10/2024
B
North Carolina 9/13/2019
B
Idaho 3/30/2020
B
Oregon 5/21/2019
B
Illinois 2/8/2016
B
Tennessee 11/7/2019
IA
Illinois 2/8/2016
B
Texas 4/8/2022
B
Indiana 5/31/2017
B
Wisconsin 12/3/2018

SRO Registrations

B
 FINRA

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
55 EAST LOOP ROAD SUITE 101, WHEATON, IL 60189
Tinley Park, IL
Registered with this firm since 2/8/2016
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
55 EAST LOOP ROAD SUITE 101, WHEATON, IL 60189
Tinley Park, IL
Registered with this firm since 2/8/2016
Previous Registration(s)
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IA
 01/28/2008 - 01/21/2016 CRI SECURITIES, LLC (CRD#:22589) CHICAGO, IL
IA
 01/28/2008 - 01/21/2016 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) CHICAGO, IL
B
 10/01/2007 - 01/21/2016 CRI SECURITIES, LLC (CRD#:22589) CHICAGO, IL
B
 10/01/2007 - 01/21/2016 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) CHICAGO, IL
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.