William P. 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.
William Patrick Oconnor, who also goes by William Patrick O'connor, Bill Oconnor, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2018 - September 18, 2019
AMERICAN FIDELITY SECURITIES, INC.
February 18, 2016 - August 9, 2016
EQUITABLE ADVISORS, LLC
February 10, 2016 - August 9, 2016
EQUITABLE ADVISORS, LLC
November 24, 2015 - February 18, 2016
VALIC FINANCIAL ADVISORS, INC.
June 24, 2015 - February 18, 2016
VALIC FINANCIAL ADVISORS, INC.
April 17, 2014 - December 18, 2014
PRIVATE CLIENT SERVICES, LLC
March 23, 2005 - December 13, 2005
FIFTH THIRD SECURITIES, INC.
July 21, 1997 - February 9, 1999
PRINCIPAL SECURITIES, INC.
September 19, 1986 - December 31, 1990
G. R. PHELPS & CO., INC.
June 2, 1986 - September 25, 1986
NEW ENGLAND SECURITIES
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
Current Firm
AMERICAN FIDELITY SECURITIES, INC.
CRD#: 11852 / SEC#: , 8-15123
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FIDELITY ASSURANCE COMPANY | SHAREHOLDER | |
| BOLDEN, TIMOTHY H | DIRECTOR | 5376036 |
| COLON, TARYN K | ASSISTANT VICE PRESIDENT, TREASURER, FINOP PRINCIPAL, AND PRINCIPAL FINANCIAL OFFICER | 7642942 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GRANT, ANGELA FAITH | DIRECTOR | 4176509 |
| KEELING, COURTNEY DANAE | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 7675059 |
| KENNEY, CHRISTOPHER THOMAS | CHAIRMAN OF THE BOARD, CEO, AND PRESIDENT | 5452832 |
| OVERFIELD, LINDA E | ASSISTANT VICE PRESIDENT |
Disclosures
| Regulatory Event | 1 |
Red Flags
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