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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

JAMES PHILIP O'CONNOR

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Ft Pierce, FL

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Search this name across graphsid dfx:ria:b0e25fda-5b10-18e5-c6dd-284294d5ef46

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Apr 21, 1997
First registration: Feb 10, 2000
Dual registered: yes, broker-dealer
Other names: JAMES P OCCONNOR|JAMES P OCONNER|JAMES PHILIP OCONNOR
IAPD individual key: 2789394

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Dec 2, 2021	n/a	yes	Ft Pierce, FL	Current employment
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Feb 28, 2012	Dec 23, 2021	no	VERO BEACH, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 6, 2012	no	Vero Beach, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	VERO BEACH, FL\|STUART, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 10, 2000	Apr 2, 2007	no	STUART, FL\|STUART, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STIFEL, NICOLAUS & COMPANY, INCORPORATED	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 23, 2021	Dec 2, 2021	-21	Firm change	Ibd to ibd
MORGAN STANLEY	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Mar 6, 2012	Feb 28, 2012	-7	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Dec 2, 2021 to presentfactForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Feb 28, 2012 to Dec 23, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 6, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 10, 2000 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.