Edward W. O Connor
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.
Edward William O Connor, who also goes by Edward William O'connor Jr, Edward William O'connor, Edward O'connor, Ted O'connor, Edward William Oconnor Jr, Edward William Oconnor, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 55, Series 4 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 18, 2015 - April 13, 2017
SG AMERICAS SECURITIES, LLC
November 7, 2012 - October 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2012 - October 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 11, 2012 - October 6, 2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
March 31, 2004 - October 11, 2012
DEUTSCHE BANK SECURITIES INC.
December 22, 1995 - May 8, 2000
SWM SECURITIES, INC.
May 5, 1992 - January 24, 1996
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
September 25, 1987 - April 8, 1992
ROSENBLATT 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 55
Date: 11/24/1998
Limited Representative-Equity Trader ExamCurrent Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
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