Dennis P. Oconnor

BLACKRIDGE ASSET MANAGEMENT

Northpoint, NY

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CRD#: 1595467

Professional summary

Dennis P Oconnor, who also goes by Dennis Oconnor, is a registered financial advisor currently at BLACKRIDGE ASSET MANAGEMENT, LLC located in Northpoint, New York and PEAK BROKERAGE SERVICES, LLC located in Jupiter, Florida.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Dennis has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis 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.

1) Business Activity: Investment Advisor; Business Entity: Blackridge Asset Management: Address: Jupiter, FL; Duties of Position: Investment Advisor: Title: IAR; Start Date: 11/2023; Approx. # of hours per month spent on activity: 40; 2) Business Activity: Life insurance; Business Entity: Top Advisors Group; Address: Jupiter; FL; Title: Insurance Agent; Start Date: 11/2023; Approx. # of hours per month spent on activity: 40

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis P Oconnor's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 27, 2023 - Present

BLACKRIDGE ASSET MANAGEMENT, LLC

RIA

CRD#: 277085

Northpoint, NY

Current

November 27, 2023 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999

CRD#: 157045

Jupiter, FL

Past

March 31, 2021 - November 30, 2023

CETERA ADVISORS LLC

RIA

CRD#: 10299

NORTHPORT, NY

Past

August 23, 2013 - November 30, 2023

CETERA ADVISORS LLC

CRD#: 10299

NORTHPORT, NY

Past

December 13, 1993 - September 18, 2013

LPL FINANCIAL LLC

CRD#: 6413

NORTHPORT, NY

Past

December 5, 1990 - December 15, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 13, 1990 - October 30, 1990

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 19, 1988 - June 13, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 22, 1987 - September 21, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(11/27/2023)

Florida
(2/17/2025)

New York
(11/27/2023)

IAR

New York
(11/27/2023)

North Carolina
(12/4/2023)

South Carolina
(1/9/2024)

Utah
(12/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

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Contact information

Main Address

1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477

Mailing Address

Phone number

(561) 641-5050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM_ADV2A (FINAL 9.29.25) (9/29/2025)

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 196,842,156

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.

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Firm Stability Insights

Dennis P. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis P Oconnor's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

BLACKRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 24

Date: 5/2/1995

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLACKRIDGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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