Daniel T. 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.
Daniel Thomas Oconnor, who also goes by Dan O'connor, Daniel Thomas O'connor, Dan Oconnor, Daniel Oconnor, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 12 firms and has passed the Series 63, Series 72, Series 99TO, Series 57TO, SIE, Series 3, Series 5, Series 15 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
April 2, 2025 - June 3, 2026
HIDDEN ROAD PARTNERS CIV US LLC
June 7, 2022 - July 18, 2023
LOOP CAPITAL MARKETS LLC
July 25, 2016 - May 31, 2022
FHN FINANCIAL SECURITIES CORP.
July 20, 2010 - March 29, 2016
SG AMERICAS SECURITIES, LLC
July 29, 2003 - May 12, 2010
BNP PARIBAS SECURITIES CORP.
May 15, 1998 - July 31, 2003
COMMERZ MARKETS LLC
September 30, 1993 - May 5, 1998
DEUTSCHE BANK SECURITIES INC.
March 20, 1990 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
December 9, 1988 - September 30, 1993
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
August 26, 1988 - October 28, 1988
CM&M FUTURES INC.
July 20, 1988 - October 28, 1988
HSBC SECURITIES (USA) INC.
July 25, 1987 - June 3, 1988
BNY SECURITIES, INC.
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 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 5
Date: 9/1/1983
Interest Rate Options ExaminationSeries 15
Date: 1/19/1983
Foreign Currency Options ExaminationCurrent Firm
HIDDEN ROAD PARTNERS CIV US LLC
CRD#: 331954 / SEC#: , 8-71259
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIDDEN ROAD PARTNERS CIV US HOLDCO LLC | PARENT COMPANY | |
| ASCH, MARC EDWARD | CHIEF EXECUTIVE OFFICER | 5565083 |
| CIPOLLONE, BRIAN MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2982507 |
| DISTELL, GARY NEIL | CHIEF COMPLIANCE OFFICER | 1540489 |
| KNECHT, JOHN ELIOT | CHIEF FINANCIAL OFFICER/FINOP | 7192538 |
| MEHTA, HINA MANHERLAL | GENERAL COUNSEL |
Red Flags
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