John F. 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.
John Francis Oconnor, who also goes by Jack Oconnor, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 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
August 28, 2013 - December 14, 2016
CABOT LODGE SECURITIES LLC
March 7, 2011 - December 14, 2016
CL WEALTH MANAGEMENT LLC
March 2, 2011 - August 28, 2013
ALLIED BEACON PARTNERS, INC.
August 26, 2005 - February 11, 2011
QA3 FINANCIAL LLC
August 25, 2005 - February 11, 2011
QA3 FINANCIAL CORP.
October 15, 2004 - August 9, 2005
SECURITIES AMERICA, INC.
May 8, 2003 - August 8, 2005
SUCCESSFUL RESOURCE MANAGEMENT, LTD.
April 11, 2003 - October 27, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 13, 1999 - April 10, 2003
NEW ENGLAND SECURITIES
February 18, 1997 - April 10, 2003
NEW ENGLAND SECURITIES
September 13, 1996 - February 13, 1997
LOCUST STREET SECURITIES, INC.
January 3, 1994 - September 13, 1996
CETERA WEALTH SERVICES, LLC
October 13, 1992 - December 31, 1993
WALL STREET ACCESS
October 4, 1985 - January 6, 1992
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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