John J. O'connor
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.
John James O'connor JR, who also goes by John J (jr) Oconnor, John James Oconnor Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 4 firms and has passed the Series 63, Series 72, Series 79TO, 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
July 24, 2019 - February 19, 2021
LITTLE RIVER CAPITAL, LLC
October 16, 2003 - August 6, 2018
DEUTSCHE BANK SECURITIES INC.
July 26, 2001 - September 26, 2003
MERRILL LYNCH GOVERNMENT SECURITIES INC.
November 24, 1997 - September 26, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LITTLE RIVER CAPITAL, LLC
CRD#: 118917 / SEC#: , 8-53698
Contact information
FINRA licenses (8 States and Territories)
Red Flags
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.
