Timothy Henry Oconnor
Professional Summary
Timothy Henry Oconnor is a registered financial advisor currently at BENJAMIN SECURITIES, INC. located in Pensacola, Florida. Timothy is registered as a RR (Registered Representative) and started their career in finance in 1997. Timothy has worked at 12 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55 and Series 7 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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.
Contact Information
Main Address
3 West Garden Street Suite 6, Albany, NY 12205Mailing Address
3 West Garden Street Suite 407, Pensacola, FL 32502Phone Number
(516) 931-1090Established
New York since 08/10/1977Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
6SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
65AUM (Assets Under Management)
$39,466,317Disclosures
Regulatory Event
1Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
BENJAMIN & FORGIONE CO., INC. | BENJAMIN SECURITIES, INC.
State Registrations and Notice Filings
(3/31/2025)
(4/28/2022)
(9/27/2023)
(1/24/2024)
(4/19/2023)
(8/10/2023)
(8/3/2016)
(9/16/2025)
(4/30/2023)
(9/21/2021)
(4/28/2022)
(5/26/2016)
(2/14/2018)
(7/15/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed May 2008SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Timothy Henry Oconnor's CRS (Customer Relationship Summary).
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