Edward J. O'connell
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 James O'connell, who also goes by Edward James Oconnell, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1989. Edward had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 55, Series 15, 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
May 15, 2015 - October 27, 2016
VALDES & MORENO, INC.
June 25, 2008 - November 5, 2008
MILSTREAM SECURITIES LLC
August 7, 2006 - June 3, 2008
GLOBAL EMERGING CAPITAL GROUP, LLC
March 26, 2001 - August 8, 2005
QUAKER SECURITIES, INC.
August 30, 2000 - March 20, 2001
VANGUARD MARKETING CORPORATION
June 26, 2000 - August 4, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 23, 1999 - May 23, 2000
PRUDENTIAL EQUITY GROUP, LLC
April 14, 1989 - March 15, 1996
CHASE FUTURES & OPTIONS, 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: 4/9/2001
Limited Representative-Equity Trader ExamSeries 15
Date: 8/29/1985
Foreign Currency Options ExaminationCurrent Firm
VALDES & MORENO, INC.
CRD#: 37560 / SEC#: , 8-47810
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LISTROM, MARCO REID | PRESIDENT & CHIEF COMPLIANCE OFFICER | 310764 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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