Andrew P. O'connor
Professional summary
Andrew Peter O'connor, who also goes by Andrew Peter O'connor, Andrew Peter Oconnor, Andrew Oconnor, is a registered financial advisor currently at UPSIDE LAB ADVISORS INC. located in Huntington, New York.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Andrew has worked at 15 firms and has passed the Series 66, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Peter O'connor's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2021 - Present
UPSIDE LAB ADVISORS INC.
March 6, 2018 - September 2, 2020
OSAIC WEALTH, INC.
March 6, 2018 - September 2, 2020
OSAIC WEALTH, INC.
June 5, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
December 6, 2016 - March 9, 2018
SCOTTRADE, INC.
December 21, 2015 - September 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2013 - December 4, 2015
E&J SECURITIES CORP.
May 11, 2011 - October 1, 2015
LEK SECURITIES CORPORATION
October 23, 2009 - January 2, 2013
W.J. BLUM & SONS, LLC
May 13, 2009 - November 2, 2009
KFM SECURITIES, INC.
March 27, 2008 - May 28, 2009
J & D SECURITIES LLC
November 28, 2006 - March 31, 2008
KFM SECURITIES, INC.
June 16, 2005 - November 29, 2006
JAMIE E. FRIEDMAN, INC.
February 27, 2003 - June 23, 2005
DENTE, JOSEPH DENNIS
August 9, 2001 - February 25, 2003
GALWAY SECURITIES CORPORATION
October 21, 1998 - December 1, 2000
ALTERNA SECURITIES, INC.
March 9, 1992 - October 6, 1994
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/9/2021)
Exams
Series 7TO
Date: 3/2/2024
General Securities Representative ExaminationSeries 57TO
Date: 3/2/2024
Securities Trader ExamSeries 55
Date: 4/9/2009
Limited Representative-Equity Trader ExamSeries 25
Date: 3/14/2000
NYSE Trading Assistant ExaminationCurrent Firm
UPSIDE LAB ADVISORS INC.
CRD#: 304862 / SEC#: 801-117153
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 1,694,200 |
Red Flags
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