Unclaimed Profile

Shelley Suzanne O'connor

MORGAN STANLEY SMITH BARNEY LLC·PURCHASE, New York

SIE, Series 7, Series 8, Series 9, Series 10, Series 24, Series 63, Series 65, Series 79TOClean record22 years registeredMORGAN STANLEY SMITH BARNEY LLC

2000 WESTCHESTER AVENUE, PURCHASE, NY 10577-2530CRD# 1327260Firm CRD# 149777

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Shelley Suzanne O'connor · PURCHASE, NY

Registration

CRD #1327260 · MORGAN STANLEY SMITH BARNEY LLC · 22 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: MORGAN STANLEY SMITH BARNEY LLC

MORGAN STANLEY & CO., INCORPORATED

Apr 2004 – May 2005

PURCHASE, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 8

Series 9

Series 10

Series 24

Series 63

Series 65

Series 79TO

Registration record

First registered · April 23, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MORGAN STANLEY SMITH BARNEY LLC

CRD 149777 · SEC 801-70103

AUM

$1402.4B

Regulatory assets under management

Employees

29,300

2,405,783 client accounts

Services offered by MORGAN STANLEY SMITH BARNEY LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at MORGAN STANLEY SMITH BARNEY LLC →

Introduction

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Frequently Asked Questions

What services does Shelley Suzanne O'connor offer?

Shelley Suzanne O'connor specializes in Financial Planning, Investment Management, Wealth Management.

What are Shelley Suzanne O'connor's credentials?

Shelley Suzanne O'connor is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Shelley Suzanne O'connor located?

Shelley Suzanne O'connor is based in PURCHASE, New York, last registered with MORGAN STANLEY SMITH BARNEY LLC.

How does Shelley Suzanne O'connor charge for services?

Shelley Suzanne O'connor's firm is compensated through percentage of aum, subscription fees, commissions, performance-based fees, other: see schedule d miscellaneous. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MORGAN STANLEY SMITH BARNEY LLC?

MORGAN STANLEY SMITH BARNEY LLC has approximately 29300 employees and manages $1402.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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