Constance M. O'leary
Professional summary
Constance Maria O'leary, who also goes by Constance Maria Napoli, Constance Maria Napoli-o'leary, Constance Maria O'leary, Constance Maria Oleary, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Constance is registered as a RR (Registered Representative) and started their career in finance in 1997. Constance has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Constance Maria O'leary's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2026 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019January 19, 2023 - May 20, 2025
LOOP CAPITAL MARKETS LLC
May 17, 2021 - June 13, 2022
BERENBERG CAPITAL MARKETS LLC
June 1, 2005 - March 1, 2021
SIDOTI & COMPANY, LLC
July 1, 2003 - December 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1997 - September 7, 1999
J.P. MORGAN SECURITIES LLC
February 5, 1997 - April 4, 1997
CIBC WORLD MARKETS CORP.
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
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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