Dean J. O'connor

BTIG

New York, NY 10022

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CRD#: 2303294

Professional summary

Dean James O'connor, who also goes by Dean J Oconnor, Dean James Oconnor, is a registered financial professional currently at BTIG, LLC located in New York, New York.

Dean is registered as a RR (Registered Representative) and started their career in finance in 1993. Dean has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 57, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dean J Oconnor | Dean James 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 Dean James 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

March 13, 2019 - Present

BTIG, LLC

Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022

CRD#: 122225

New York, NY

Past

March 8, 2016 - March 12, 2019

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, NY

Past

February 24, 2015 - February 17, 2016

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

NEW YORK, NY

Past

October 1, 2014 - January 26, 2015

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

NEW YORK, NY

Past

September 29, 2014 - January 13, 2015

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, NY

Past

April 15, 2013 - September 29, 2014

GLOBAL HUNTER SECURITIES, LLC

CRD#: 123003

NEW YORK, NY

Past

January 6, 2005 - March 25, 2013

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

February 12, 2004 - January 3, 2005

BLAYLOCK & COMPANY, INC.

CRD#: 35669

NEW YORK, NY

Past

February 21, 2003 - February 5, 2004

EAST SHORE PARTNERS, INC.

CRD#: 28999

HAUPPAUGE, NY

Past

April 4, 1997 - March 21, 1999

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

June 21, 1993 - March 17, 1997

DEUTSCHE IXE, LLC

CRD#: 7172

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

Alabama
(3/13/2019)

Alaska
(3/13/2019)

Arizona
(3/13/2019)

Arkansas
(3/13/2019)

California
(3/13/2019)

Colorado
(3/13/2019)

Connecticut
(3/13/2019)

Delaware
(3/13/2019)

District of Columbia
(3/13/2019)

Florida
(3/13/2019)

Georgia
(3/13/2019)

Hawaii
(3/13/2019)

Idaho
(3/13/2019)

Illinois
(3/13/2019)

Indiana
(3/13/2019)

Iowa
(3/13/2019)

Kansas
(3/13/2019)

Kentucky
(3/13/2019)

Louisiana
(3/13/2019)

Maine
(3/13/2019)

Maryland
(3/13/2019)

Massachusetts
(3/13/2019)

Michigan
(3/13/2019)

Minnesota
(3/13/2019)

Mississippi
(3/13/2019)

Missouri
(3/13/2019)

Montana
(3/13/2019)

Nebraska
(3/13/2019)

Nevada
(3/13/2019)

New Hampshire
(3/13/2019)

New Jersey
(3/13/2019)

New Mexico
(3/13/2019)

New York
(3/13/2019)

North Carolina
(3/13/2019)

North Dakota
(3/13/2019)

Ohio
(3/13/2019)

Oklahoma
(3/13/2019)

Oregon
(3/13/2019)

Pennsylvania
(3/13/2019)

Rhode Island
(3/13/2019)

South Carolina
(3/13/2019)

South Dakota
(3/13/2019)

Texas
(3/13/2019)

Utah
(3/13/2019)

Vermont
(3/13/2019)

Virgin Islands
(3/13/2019)

Virginia
(3/13/2019)

Washington
(3/13/2019)

West Virginia
(3/13/2019)

Wisconsin
(3/13/2019)

Wyoming
(3/13/2019)

Exams

State Security Law Exam

Series 63

Date: 3/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/14/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 6/6/2016

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 2/14/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/2013

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

BTIG, LLC

BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

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

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Contact information

Main Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Mailing Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Phone number

(415) 248-2200

Established

Delaware since 06/05/2002

Firm type

Limited Liability Company

Fiscal year end

December

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#
CONDOR TRADING LP	MANAGER/MEMBER
CZEPIEL, KYLE ROBERT	CHIEF OPERATING OFFICER	2360785
ENDRES, BRIAN KENNETH	CFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2673131
HAMILTON, AUSTIN	CHIEF COMPLIANCE OFFICER	2592315
LEROY, ANTON MAURICE	CHIEF EXECUTIVE OFFICER	2862204

Disclosures

Regulatory Event	11
Civil Event	1

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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Firm Stability Insights

Dean J. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dean James O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEAPORT GLOBAL SECURITIES LLC

INTL FCSTONE CREDIT TRADING LLC

GLOBAL HUNTER SECURITIES, LLC

SEAPORT GLOBAL SECURITIES LLC

GLOBAL HUNTER SECURITIES, LLC

COWEN SECURITIES LLC

BLAYLOCK & COMPANY, INC.

EAST SHORE PARTNERS, INC.

BMO CAPITAL MARKETS CORP.

DEUTSCHE IXE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/2003

Series 79TO

Date: 12/14/2019

SIE

Date: 10/1/2018

Series 57

Date: 6/6/2016

Series 7

Date: 2/14/2003

Series 24

Date: 10/26/2013

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

BTIG, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BTIG, LLC

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