Patrick H. O'connor

FRANKLIN DISTRIBUTORS

San Mateo, CA 94403-1906

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CRD#: 1969161

Professional summary

Patrick Hugh Edward O'connor, who also goes by Patrick H E Oconnor, Patrick Hugh Edward Oconnor, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in San Mateo, California.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1992. Patrick has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrick H E Oconnor | Patrick Hugh Edward Oconnor

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Hugh Edward O'connor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Franklin Parkway, San Mateo, CA 94403-1906

CRD#: 109064

San Mateo, CA

Past

December 21, 2015 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

November 13, 2012 - May 5, 2014

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

SAN FRANCISCO, CA

Past

February 12, 2004 - May 5, 2014

BLACKROCK FUND ADVISORS

RIA

CRD#: 105247

SAN FRANCISCO, CA

Past

June 6, 2003 - November 14, 2012

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

Past

November 9, 1992 - May 17, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/7/2021)

Connecticut
(1/4/2022)

Florida
(1/4/2022)

New York
(1/4/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/7/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/8/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/4/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Patrick H. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Hugh Edward O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK FUND ADVISORS

BLACKROCK EXECUTION SERVICES

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2004

Series 63

Date: 7/7/2003

SIE

Date: 10/1/2018

Series 3

Date: 8/8/2003

Series 7

Date: 6/4/2003

Series 24

Date: 8/12/2016

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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