William F. 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.
William Francis Oconnor, who also goes by Bill Oconnor, Billy Oconnor, W F Oconnor III, William Francis Oconnor III, William Francis Oconnor, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 11 firms and has passed the Series 63, SIE 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
August 11, 2020 - February 22, 2021
ICAP SECURITIES USA LLC
October 3, 2011 - November 2, 2018
NATIXIS SECURITIES AMERICAS LLC
August 17, 2011 - October 3, 2011
NATIXIS SECURITIES NORTH AMERICA INC.
January 13, 2010 - July 18, 2011
WELLS FARGO SECURITIES, LLC
June 13, 2008 - June 12, 2009
PREBON FINANCIAL PRODUCTS INC.
September 23, 2004 - October 5, 2007
RBC CAPITAL MARKETS CORPORATION
November 3, 1997 - September 24, 2004
CIBC WORLD MARKETS CORP.
March 24, 1995 - November 3, 1997
CIBC WOOD GUNDY SECURITIES CORP.
April 14, 1994 - January 23, 1995
FLEET ENTERPRISES, INC.
June 25, 1991 - March 9, 1994
CREDIT AGRICOLE SECURITIES (USA) INC.
July 18, 1989 - June 3, 1991
DB ALEX. BROWN LLC
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
Current Firm
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
