PO
Patrick E. O'connor
CITIZENS SECURITIES
BRANFORD, CT 06405
Some features on this profile are disabled
CRD#: 1482727
PO
Professional summary
Patrick E O'connor, who also goes by Patrick E Oconnor, Patrick Edward Oconnor, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Branford, Connecticut.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Patrick has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick E Oconnor | Patrick Edward Oconnor
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.
Notary Public
CRS (Client Relationship Summary) - RIA
Click below to view Patrick E O'connor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick E O'connor's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 15, 2018 - Present
CITIZENS SECURITIES, INC.
Office #1: 332 East Main Street Mailstop: Ct-727, Branford, CT 06405Office #2: 211 South Main Street, Unit #2 Mailstop: Ct263, Middletown, CT 06457Office #3: 834 Washington St. Mailstop: Ct-264, Middletown, CT 06457Office #4: 61 Shunpike Road Mailstop: Ct268, Cromwell, CT 06416RIA
BD
CRD#: 39550
BRANFORD, CT
Current
August 15, 2018 - Present
CITIZENS SECURITIES, INC.
Office #1: 332 East Main Street Mailstop: Ct-727, Branford, CT 06405Office #2: 211 South Main Street, Unit #2 Mailstop: Ct263, Middletown, CT 06457Office #3: 834 Washington St. Mailstop: Ct-264, Middletown, CT 06457Office #4: 61 Shunpike Road Mailstop: Ct268, Cromwell, CT 06416RIA
BD
CRD#: 39550
BRANFORD, CT
Past
April 11, 2017 - August 16, 2018
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Hamden, CT
Past
May 1, 2014 - March 31, 2017
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Cheshire, CT
Past
May 1, 2014 - March 31, 2017
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Cheshire, CT
Past
September 21, 2011 - April 30, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
NORTH BRANFORD, CT
Past
September 21, 2011 - April 30, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTH BRANFORD, CT
Past
March 7, 2011 - September 29, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
EAST HARTFORD, CT
Past
March 7, 2011 - September 29, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
EAST HARTFORD, CT
Past
November 9, 2009 - January 27, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
August 25, 2009 - January 27, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HARTFORD, CT
Past
January 27, 1999 - April 27, 2009
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
ENFIELD, CT
Past
October 18, 1996 - May 23, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(8/15/2018)
IAR
Connecticut(8/15/2018)
RR
Florida(8/15/2018)
IAR
Florida(8/16/2018)
RR
Kentucky(1/31/2022)
IAR
Kentucky(1/31/2022)
RR
Massachusetts(8/15/2018)
RR
Michigan(1/2/2025)
IAR
Michigan(1/6/2025)
RR
New York(5/6/2022)
IAR
New York(5/6/2022)
RR
Ohio(1/4/2021)
IAR
Ohio(1/4/2021)
RR
Rhode Island(12/7/2020)
IAR
Rhode Island(12/7/2020)
RR
South Carolina(1/31/2022)
IAR
South Carolina(1/31/2022)
IAR
Virginia(2/13/2023)
RR
Virginia(3/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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
CITIZENS SECURITIES, INC.
CRD#: 39550Branford, CT 06405TRUST BUT VERIFY
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