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EO

Edward T. Oconnor

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CRD#: 1289028
EO

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

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 20, 2004 - May 31, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BURLINGTON, MA
Past

October 20, 2004 - May 31, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BURLINGTON, MA
Past

August 17, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
LEXINGTON, MA
Past

November 15, 2002 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

May 9, 2001 - November 19, 2002

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
BOSTON, MA
Past

October 14, 1998 - November 19, 2002

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

February 23, 1995 - September 9, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 28, 1988 - February 22, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

November 7, 1985 - August 5, 1988

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

July 26, 1984 - October 21, 1985

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/5/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/19/1987
National Commodity Futures Examination

Current Firm

BO
BANC OF AMERICA INVESTMENT SERVICES, INC.
BANC OF AMERICA INVESTMENT SERVICES, INC. | NCNB SECURITIES, INC. | NATIONSBANC SECURITIES, INC. | NATIONSBANC INVESTMENTS, INC.

CRD#: 16361 / SEC#: , 8-33805

BD
Terminated by SEC on 12/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/14/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
BENSON, MARK JARRETTPRESIDENT/CEO/DIRECTOR/CHAIRMAN1915552
CALL, JOHN SCOTTSVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE2815968
NEWTH, RONALD JOSEPHCHIEF OPERATING OFFICER/DIRECTOR1454390
OSAKI, ISAACCHIEF LEGAL OFFICER4910551
ROMANO, JOHN GARYCFO/DIRECTOR5078610

Disclosures

Regulatory Event53
Civil Event1
Arbitration68

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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