PO
Philip M. Oconnor
BOLTON GLOBAL CAPITAL
Bolton, MA 01740
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CRD#: 2215870
PO
Professional summary
Philip Michael Oconnor is a registered financial professional currently at BOLTON GLOBAL CAPITAL located in Bolton, Massachusetts.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1992. Philip has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Philip Michael Oconnor's 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®
NoneExperience
Current
January 30, 1996 - Present
BOLTON GLOBAL CAPITAL
Office #1: 579 Main Street, Bolton, MA 01740BD
CRD#: 15650
Bolton, MA
Past
October 25, 1994 - January 1, 1996
C.A. ATLANTIC SECURITIES, INC.
BD
CRD#: 16358
BOSTON, MA
Past
April 21, 1994 - October 8, 1994
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
March 5, 1992 - March 31, 1994
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(7/29/1997)
RR
California(3/25/1998)
RR
Colorado(2/18/2000)
RR
Connecticut(10/10/1997)
RR
District of Columbia(1/12/2010)
RR
Florida(7/16/1998)
RR
Georgia(3/25/1998)
RR
Hawaii(9/6/2006)
RR
Illinois(8/22/1997)
RR
Indiana(12/7/2005)
RR
Kansas(7/18/2006)
RR
Kentucky(8/27/2003)
RR
Massachusetts(1/30/1996)
RR
Michigan(7/30/1997)
RR
Minnesota(9/17/2008)
RR
Nevada(9/6/2006)
RR
New Hampshire(9/6/2006)
RR
New Jersey(7/31/1997)
RR
New York(8/11/1997)
RR
Ohio(12/22/1997)
RR
Oklahoma(12/21/2009)
RR
Oregon(8/19/1999)
RR
Pennsylvania(8/22/1997)
RR
Rhode Island(12/22/1997)
RR
South Carolina(4/12/2005)
RR
Texas(3/25/1998)
RR
Virginia(3/26/2010)
RR
Washington(1/12/2010)
RR
Wisconsin(3/25/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BG
BOLTON GLOBAL CAPITAL
BOLTON GLOBAL CAPITAL | DELTA EQUITY SERVICES CORPORATION | CLARY FINANCIAL PLANNING SERVICES INC. | CLARY FINANCIAL PLANNING SERVICES
CRD#: 15650 / SEC#: , 8-33222
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
579 Main Street, Bolton, MA 01740
Mailing Address
579 Main Street, Bolton, MA 01740
Phone number
(978) 779-5361
Established
Massachusetts since 11/29/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BOLTON GLOBAL CAPITAL
CRD#: 15650Bolton, MA 01740TRUST BUT VERIFY
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