Matthew J. 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.
Matthew Jay Oconnell was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, 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
November 14, 2017 - October 30, 2023
CARTA SECURITIES, LLC
July 15, 2010 - October 17, 2016
GEORGESON SECURITIES CORPORATION
April 25, 2007 - December 31, 2010
COMPUTERSHARE SECURITIES CORPORATION
October 11, 2002 - December 31, 2004
BNY MELLON SECURITIES LLC
May 31, 2000 - April 17, 2007
BNY MELLON SECURITIES LLC
February 9, 1998 - May 23, 2000
APW CAPITAL, INC.
September 14, 1995 - November 25, 1996
SUMMIT EQUITIES, INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CARTA SECURITIES, LLC
CRD#: 282086 / SEC#: , 8-69701
Contact information
Documents
Red Flags
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