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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

JAMES EDWARD O'CONNOR

Advisor at MORGAN STANLEY

West Des Moines, IA

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Search this name across graphsid dfx:ria:ebd86a48-e988-1f30-b02c-da0f7bcd2a95

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 1, 1999 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: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 20, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 20, 1985
First registration: Jan 1, 1999
Dual registered: yes, broker-dealer
Other names: JIM OCONNOR|JAMES EDWARD OCONNOR|JAMES EDWARD O' CONNOR
IAPD individual key: 1432604

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
MORGAN STANLEY	Wirehouse	Jun 1, 2009	n/a	yes	West Des Moines, IA\|West Des Moines, IA	Current employment
MORGAN STANLEY & CO. LLC	n/a	Feb 17, 2009	Jun 1, 2009	no	WEST DES MOINES, IA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Dec 16, 2005	Feb 13, 2009	no	WEST DES MOINES, IA\|CLIVE, IA\|CLIVE, IA	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jan 1, 1999	Dec 31, 2002	no	W DES MOINES, IA	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
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CETERA INVESTMENT SERVICES LLC	MORGAN STANLEY & CO. LLC	Feb 13, 2009	Feb 17, 2009	4	Firm change	Other
RAYMOND JAMES & ASSOCIATES, INC.	CETERA INVESTMENT SERVICES LLC	Dec 31, 2002	Dec 16, 2005	1,081	Firm change after gap	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Feb 17, 2009 to Jun 1, 2009factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Dec 16, 2005 to Feb 13, 2009factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jan 1, 1999 to Dec 31, 2002factForm ADV

Dated events

No dated event names this entity yet.