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Dennis P. Oconnell

Some features on this profile are disabled
CRD#: 3082422
DO

Professional summary

Dennis Paul Oconnell JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dennis is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Dennis had worked at 2 firms, which includes MACARTHUR STRATEGIES INC., WESTCAP SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 24, 2000 - April 25, 2000

MACARTHUR STRATEGIES, INC.

BD
CRD#: 20678
IRVINE, CA
Past

August 19, 1999 - September 28, 1999

WESTCAP SECURITIES, INC.

BD
CRD#: 45250
IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/14/1999
General Securities Representative Examination

Current Firm

MS
MACARTHUR STRATEGIES, INC.
BROKERS FIRST FINANCIAL CORP. | WELLINGTON FIRST SECURITIES, INC. | TREMAN FIRST SECURITIES, INC. | MACARTHUR STRATEGIES, INC.

CRD#: 20678 / SEC#: , 8-38402

BD
Terminated by SEC on 02/06/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 08/04/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NICHOLSON, PAUL NICHOLASCHIEF COMPLIANCE OFFICER
NICHOLSON, PAUL NICHOLASPRESIDENT

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MACARTHUR STRATEGIES, INC.

CRD#: 20678

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