Stephen 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.
Stephen Thomas Oconnor was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 3 firms and has passed the Series 57TO, SIE, Series 44 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2023 - July 1, 2024
STG SECURITIES, LLC
June 23, 2009 - March 18, 2013
CTC, LLC
March 19, 2007 - July 6, 2009
BASE-2 MARKETS, LLC
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 9/8/2023
Securities Trader ExamSeries 44
Date: 8/14/2007
PCX Market Maker ExamCurrent Firm
STG SECURITIES, LLC
CRD#: 322438 / SEC#: , 8-70947
Contact information
Documents
Red Flags
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