Edward T. Oconnor
Professional summary
Edward Thomas Oconnor was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Edward Thomas Oconnor was a registered financial advisor .
Edward is a previously registered financial advisor and started their career in finance in 1984. Edward had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2004 - May 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 17, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 15, 2002 - October 20, 2004
QUICK & REILLY, INC.
May 9, 2001 - November 19, 2002
COMMONWEALTH FINANCIAL NETWORK
October 14, 1998 - November 19, 2002
COMMONWEALTH FINANCIAL NETWORK
February 23, 1995 - September 9, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 28, 1988 - February 22, 1995
J.P. MORGAN SECURITIES LLC
November 7, 1985 - August 5, 1988
MORGAN STANLEY DW INC.
July 26, 1984 - October 21, 1985
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
Red Flags
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