Christopher M. Oconnell
Professional summary
Christopher Michael Oconnell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Christopher had worked at 6 firms, which includes NEW TIMES SECURITIES SERVICES INC., H.J. MEYERS & CO. INC., HD BROUS & CO. INC., FIRST ASSET MANAGEMENT INC., CHATFIELD DEAN & CO. INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1998 - August 6, 1998
NEW TIMES SECURITIES SERVICES, INC.
September 23, 1997 - March 4, 1998
H.J. MEYERS & CO., INC.
January 14, 1997 - September 26, 1997
HD BROUS & CO., INC.
October 4, 1996 - January 10, 1997
FIRST ASSET MANAGEMENT, INC.
August 13, 1996 - January 10, 1997
FIRST ASSET MANAGEMENT, INC.
June 7, 1995 - August 9, 1996
FIRST ASSET MANAGEMENT, INC.
May 19, 1995 - June 6, 1995
CHATFIELD DEAN & CO., INC.
June 14, 1994 - April 3, 1995
CONTINENTAL BROKER-DEALER CORP.
State Registrations and Notice Filings
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Exams
Current Firm
NEW TIMES SECURITIES SERVICES, INC.
CRD#: 34154 / SEC#: , 8-46215
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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