Steven A. Oconnell
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.
Steven Anthony Oconnell was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 10 firms and has passed the Series 5, Series 7 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
March 24, 1993 - April 25, 2013
THE NORTHSTAR GROUP, INC.
January 22, 1993 - March 24, 1993
VANGUARD CAPITAL
January 14, 1993 - January 22, 1993
MEYERS POLLOCK ROBBINS, INC.
April 7, 1992 - January 21, 1993
KIDDER, PEABODY & CO. INCORPORATED
April 17, 1990 - March 14, 1992
YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP)
March 12, 1990 - May 2, 1990
MABON, NUGENT & CO.
April 29, 1986 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 12, 1985 - March 20, 1986
BNP PARIBAS SECURITIES CORP.
February 17, 1983 - March 15, 1985
QUADREX SECURITIES CORPORATION
June 21, 1982 - July 12, 1990
MORGAN STANLEY DW INC.
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 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
THE NORTHSTAR GROUP, INC.
CRD#: 31282 / SEC#: , 8-45478
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWARTZ, CHARLES DAVID | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1206508 |
Red Flags
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