Diane Oconnor
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.
Diane Oconnor, who also goes by Diane O'connor, Diane Riback, was a registered financial professional .
Diane is a previously registered financial professional and started their career in finance in 1993. Diane had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2000 - April 25, 2001
J. P. MORGAN ADVISORY SERVICES INC.
February 7, 2000 - March 15, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 10, 1998 - February 18, 2000
HERZOG, HEINE, GEDULD, LLC
December 9, 1997 - November 28, 1998
BRIARWOOD INVESTMENT COUNSEL
January 30, 1995 - June 12, 1997
MAIDSTONE FINANCIAL, INC.
November 26, 1993 - February 3, 1995
FIRST ASSET MANAGEMENT, INC.
July 19, 1993 - November 30, 1993
SOUTH RICHMOND SECURITIES, 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
Series 55
Date: 7/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
J. P. MORGAN ADVISORY SERVICES INC.
CRD#: 102040 / SEC#: , 8-52183
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN ADVISORS INC. | SOLE STOCKHOLDER | |
| AZARIAN, MICHAEL ARMEN | VICE PRESIDENT | 4074197 |
| BASHAWATY, ALBERT CHARLES | DIRECTOR | 2042052 |
| BRADIN, KERRIANNE | CFO & CONTROLLER | 3260716 |
| CARR, ERIC JOHN | SROP | 2306603 |
| CURLEY, FRANCIS XAVIER | CHIEF COMPLIANCE OFFICER | 2572714 |
| DEOLIVEIRA, RAMON | DIRECTOR | 1916002 |
| INABA, GAIL MISAKO | VICE-PRESIDENT/ASSISTANT GENERAL COUNSEL | 3114982 |
| LUMMUS, APRIL L | COMPLIANCE PRINCIPAL | 2790107 |
| MERKER, KAREN MARLA | MUNICIPALS PRINCIPAL | 2231667 |
| SCHMIDLIN, JOHN WILLIAM | DIRECTOR | 4074212 |
| SMITH, GLEN JOSEPH | CHAIRMAN/PRESIDENT/DIRECTOR | 1833843 |
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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