Regina T. Oconnell
Professional summary
Regina T. Oconnell, who also goes by Regina T Oconnell, Regina Thereasa Oconnell, Regina Thereasa Oconnellthompson, Regina Theresa Oconnellthompson, is a registered financial professional currently at STERN BROTHERS & CO. located in Jersey City, New Jersey.
Regina is registered as a RR (Registered Representative) and started their career in finance in 1985. Regina has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Regina T. Oconnell's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2016 - Present
STERN BROTHERS & CO.
February 8, 1999 - December 23, 2015
HILLTOP SECURITIES INC.
October 30, 1995 - January 11, 1999
ARTEMIS CAPITAL GROUP, INC.
July 20, 1994 - September 29, 1995
RAYMOND JAMES & ASSOCIATES, INC.
September 25, 1993 - June 27, 1994
PRINTON, KANE GROUP, INC.
April 22, 1992 - September 9, 1993
ADVANTAGE CAPITAL CORPORATION
June 24, 1991 - May 21, 1992
O'BRIEN & SHEPARD, INC.
October 1, 1987 - June 12, 1989
SAMUEL A. RAMIREZ & COMPANY, INC.
February 21, 1985 - November 22, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/26/2022)
(1/4/2016)
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Exams
FINRA
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
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