Stanley 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.
Stanley James Oconnor, who also goes by Jamie O'connor, S James Oconnor, was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1985. Stanley had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2016 - October 19, 2016
IRC SECURITIES LLC
September 6, 2011 - January 31, 2013
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.
June 7, 2011 - September 6, 2011
MAYBANK SECURITIES USA INC.
May 22, 2001 - August 27, 2010
CREDIT AGRICOLE SECURITIES (USA) INC.
August 8, 2000 - May 14, 2001
UBS SECURITIES LLC
January 4, 2000 - August 10, 2000
ABN AMRO SECURITIES LLC
February 5, 1993 - December 1, 1999
PACIFIC EQUITY RESEARCH, INC.
July 10, 1989 - October 5, 1992
ING BARING (U.S.) SECURITIES, INC.
October 17, 1986 - June 26, 1989
ROBERT FLEMING INC.
October 24, 1985 - April 17, 1986
ROBERT FLEMING 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
Exams
Series 8
Date: 12/11/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
