Kenneth J. Oconnor
Professional summary
Kenneth James Oconnor was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Kenneth had worked at 3 firms, which includes W.A. CAPITAL MARKETS, COMBINED RESEARCH & TRADING INC., J.P. TURNER & COMPANY L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2001 - January 10, 2002
W.A. CAPITAL MARKETS
July 6, 2000 - July 26, 2000
W.A. CAPITAL MARKETS
December 24, 1998 - September 1, 1999
COMBINED RESEARCH & TRADING, INC.
November 7, 1997 - April 28, 1998
J.P. TURNER & COMPANY, L.L.C.
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
Current Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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