Thomas 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.
Thomas Joseph Oconnor, CFP®, who also goes by Thomas Joseph O'connor, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1989
Experience
June 19, 2020 - October 4, 2022
GROVE POINT INVESTMENTS, LLC
October 16, 2015 - August 8, 2017
OAK HARVEST INVESTMENT SERVICES
March 8, 2006 - August 20, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
September 22, 2004 - January 4, 2006
HORNOR, TOWNSEND & KENT, LLC
January 4, 2000 - September 14, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
June 1, 1999 - December 31, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
September 19, 1997 - September 30, 1998
MML INVESTORS SERVICES, LLC
June 16, 1992 - July 11, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 3, 1989 - December 31, 1992
LOCUST STREET SECURITIES, INC.
May 8, 1985 - February 4, 1989
SIGNATOR INVESTORS, INC.
March 2, 1983 - February 25, 1985
FSC SECURITIES CORPORATION
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 7TO
Date: 6/19/2020
General Securities Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
Red Flags
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