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Kevin M. O'connor

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CRD#: 2460447
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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.

Kevin Michael O'connor, who also goes by Kevin M Oconnor, Kevin Michael Oconnor, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1994. Kevin had worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin M Oconnor | Kevin Michael 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2017 - August 22, 2024

QUATTRO M SECURITIES INC.

BD
CRD#: 39289
NEW YORK, NY
Past

October 1, 2007 - April 14, 2016

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 13, 2007 - October 16, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 26, 2005 - March 13, 2007

LAVA TRADING, INC.

BD
CRD#: 133804
NEW YORK, NY
Past

September 29, 2000 - May 24, 2005

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY
Past

August 4, 2000 - August 17, 2000

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY
Past

February 20, 1998 - August 31, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 28, 1994 - July 31, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/26/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/12/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 8/26/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/20/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/21/2008
Registered Options Principal Examination

Current Firm

QM
QUATTRO M SECURITIES INC.
QUATTRO M SECURITIES INC.

CRD#: 39289 / SEC#: , 8-48629

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
501 Fifth Avenue 15th Floor, New York, NY 10017
Mailing Address
735 Ridgefield Road, Wilton, CT 06897
Phone number
(212) 402-1441
Established
New York since 12/07/1994
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAURO, EUGENE LOUISEXECUTIVE COMMITTEE CHAIRMAN
LANGE, KATHLEEN ASHCHIEF FINANCIAL OFFICER/CHIEF OPERATING OFFICER4474328
LEONARD, JUSTIN KERNCHIEF COMPLIANCE OFFICER, CEO4407585

Disclosures

Regulatory Event3

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.

Company Information

QUATTRO M SECURITIES INC.

CRD#: 39289

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