Thomas F. 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.
Thomas Frederic Oconnor, who also goes by Tom Oconnor, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 62, Series 22, Series 6 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 27, 2012 - December 31, 2017
THOMAS O'CONNOR, CFP
December 15, 1998 - December 16, 2011
INVESTACORP, INC.
March 11, 1997 - December 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 1988 - April 24, 1997
INVESTACORP, INC.
November 14, 1988 - January 1, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
November 14, 1988 - January 1, 1989
MONY SECURITIES CORPORATION
July 1, 1987 - April 24, 1997
INVESTACORP, INC.
February 18, 1987 - July 25, 1987
SCHWAB INVESTMENTS, INC.
August 9, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 9, 1982 - February 27, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
August 9, 1982 - March 3, 1987
IDS LIFE INSURANCE COMPANY
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 62
Date: 12/5/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
THOMAS O'CONNOR, CFP
CRD#: 117706 / SEC#:
Contact information
Red Flags
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