Thomas Frederic Oconnor
Professional Summary
Thomas Frederic Oconnor, who also goes by Tom Oconnor, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1982 - 2017. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Oconnor
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
O'CONNOR, THOMAS F. | THOMAS O'CONNOR, CFP
Contact Information
Main Address
607 E Boston #206, Covington, LA 70433Documents
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Dec 1989Series 22 — Direct Participation Programs Representative Examination
Passed Jun 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1982About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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