Sean M. O'connor
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.
Sean Michael O'connor, who also goes by Sean Michael Oconnor, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1995. Sean had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 3, 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 7, 2019 - May 5, 2021
STONEX OUTSOURCED SERVICES LLC
February 6, 2019 - May 1, 2019
INTL FCSTONE CREDIT TRADING LLC
September 21, 2016 - July 12, 2017
STERNE, AGEE & LEACH, INC.
September 21, 2016 - July 5, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
September 21, 2016 - August 21, 2020
STONEX SECURITIES INC.
November 12, 2002 - October 20, 2023
STONEX FINANCIAL INC.
November 13, 1995 - May 13, 2002
ICBC STANDARD SECURITIES INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STONEX OUTSOURCED SERVICES LLC
CRD#: 30773 / SEC#: , 8-45150
Contact information
Documents
Red Flags
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