Christopher Oconnor
Professional summary
Christopher Oconnor, who also goes by Chris C Oconner, Christopher Cavanagh Oconner, Christopher Cavanagh Oconnor, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Oconnor's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2018 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102June 1, 2012 - June 28, 2018
TULLETT PREBON FINANCIAL SERVICES LLC
January 24, 2007 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
May 9, 2006 - January 11, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
June 9, 2005 - May 10, 2006
ICAP SECURITIES USA LLC
June 3, 2005 - June 8, 2005
BGC FINANCIAL, L.P.
November 12, 2004 - December 14, 2005
CASTLEOAK SECURITIES, LP
July 29, 1999 - October 25, 1999
J.P. MORGAN SECURITIES LLC
October 2, 1997 - January 20, 1998
TULLETT LIBERTY BROKERAGE 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
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Exams
FINRA
Current Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT | 2693999 |
| PRUZINSKY, KRISTIN ANNE | SENIOR VICE PRESIDENT AND CHIEF PRODUCT OFFICER | 5347722 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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