William Anthony Oconnor
Professional Summary
William Anthony Oconnor was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1996 - 2023. William had worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 50, Series 7, Series 14, Series 54, Series 27, Series 4, Series 24, Series 10, Series 9 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
O'CONNOR & COMPANY SECURITIES INC.
Contact Information
Established
California since 11/09/2007Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCONNOR, WILLIAM ANTHONY | PRESIDENT / CCO / CFO / FINOP / DIRECTOR | 2796133 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Oct 2017About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed May 2021About the Series 54 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2004About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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