Edward G. Oconnell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Edward Gilbert Oconnell, who also goes by Beau Oconnell, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2002. Edward had worked at 4 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2009 - September 1, 2009
KABRIK TRADING LLC
January 2, 2009 - April 1, 2009
HALCYON CABOT PARTNERS, LTD.
January 2, 2008 - January 6, 2009
JOHN N. SEIP & CO., INC.
June 26, 2002 - January 3, 2008
GOETZ, BATCHKER & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KABRIK TRADING LLC
CRD#: 104460 / SEC#: , 8-52917
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONLIN, JAMES ANTHONY JR | MEMBER-MANAGER/CEO, CCO | 2317021 |
| FLOOD, CHARLES EDWARD JR. | VICE-PRESIDENT | 1385628 |
| PIRKLE, JASON SCOT | VICE PRESIDENT - FLOOR OPERATIONS, SROP | 2477982 |
| CONLIN, JAMES ANTHONY SR | LIMITED PARTNER | |
| DEVLIN, THOMAS JAMES | COO | 3157603 |
| LEITZ, PATRICIA | LIMITED PARTNER | |
| TUCKER, MARGARET | LIMITED PARTNER |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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