Donald J. Oconnor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Joseph Oconnor, who also goes by Donald Joseph O'connor, Donald Joseph O'connor, Donald Jospeh Oconnor, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1995. Donald had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2013 - October 25, 2013
AGINCOURT, LTD.
October 19, 2011 - December 15, 2011
MADISON WILLIAMS AND COMPANY
June 27, 2003 - October 28, 2010
THE BENCHMARK COMPANY, LLC
December 13, 2001 - July 2, 2002
DONALD & CO. SECURITIES INC.
June 23, 1995 - December 21, 2001
BLUESTONE CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/12/2005
Limited Representative-Equity Trader ExamCurrent Firm
AGINCOURT, LTD.
CRD#: 36661 / SEC#: , 8-47651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOVE, DOUGLAS ASHLEY | DIRECTOR, CHAIRMAN OF THE BOARD, CEO, PRES, FINOP | 4083516 |
| MORRISON, ERNEST ANGUS | DIRECTOR | 2747137 |
| SICKLES, JOHN FREDERICK | SHAREHOLDER | 501253 |
| SMITH, RICHARD WALTER | SHAREHOLDER | 428697 |
| SWENSON, GREGORY ROBERT | PRESIDENT (03/2009) GSP (10/08), SECRETARY,CCO AND AML OFFICER(01/2014) , | 2236695 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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