KO
Kieran M. Oconnor
SUMRIDGE PARTNERS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 3263513
KO
Professional summary
Kieran Markey Oconnor, who also goes by Kieran M O'connor, Kieran Markey O'connor, Kieran M Oconnor, is a registered financial professional currently at SUMRIDGE PARTNERS, LLC located in Stamford, Connecticut.
Kieran is registered as a RR (Registered Representative) and started their career in finance in 2002. Kieran has worked at 9 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kieran M O'connor | Kieran Markey O'connor | Kieran M Oconnor
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.
CRS (Client Relationship Summary) - BD
Click below to view Kieran Markey Oconnor's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 21, 2013 - Present
SUMRIDGE PARTNERS, LLC
Office #1: 396 Pacific Street Suite 306, Stamford, CT 06902BD
CRD#: 152437
Stamford, CT
Past
July 2, 2012 - March 22, 2013
VIRTU AMERICAS LLC
BD
CRD#: 149823
GREENWICH, CT
Past
May 29, 2012 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
GREENWICH, CT
Past
June 7, 2011 - February 28, 2012
MPS FIXED INCOME LLC
BD
CRD#: 154096
NEW YORK, NY
Past
March 11, 2010 - February 10, 2012
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
August 4, 2009 - February 12, 2010
PALI CAPITAL, INC.
BD
CRD#: 117783
NEW YORK, NY
Past
June 1, 2009 - June 30, 2009
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
January 30, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/2/2015)
RR
Alaska(6/2/2015)
RR
Arizona(6/2/2015)
RR
Arkansas(6/2/2015)
RR
California(6/2/2015)
RR
Colorado(6/2/2015)
RR
Connecticut(6/2/2015)
RR
Delaware(6/2/2015)
RR
District of Columbia(6/2/2015)
RR
Florida(6/2/2015)
RR
Georgia(6/2/2015)
RR
Hawaii(6/2/2015)
RR
Idaho(6/2/2015)
RR
Illinois(12/18/2014)
RR
Indiana(6/2/2015)
RR
Iowa(6/2/2015)
RR
Kansas(6/2/2015)
RR
Kentucky(6/2/2015)
RR
Louisiana(6/2/2015)
RR
Maine(6/2/2015)
RR
Maryland(6/2/2015)
RR
Massachusetts(6/2/2015)
RR
Michigan(6/2/2015)
RR
Minnesota(6/2/2015)
RR
Mississippi(6/2/2015)
RR
Missouri(6/2/2015)
RR
Montana(6/2/2015)
RR
Nebraska(6/2/2015)
RR
Nevada(6/2/2015)
RR
New Hampshire(6/2/2015)
RR
New Jersey(10/22/2013)
RR
New Mexico(6/2/2015)
RR
New York(10/24/2013)
RR
North Carolina(6/2/2015)
RR
North Dakota(6/2/2015)
RR
Ohio(6/2/2015)
RR
Oklahoma(6/2/2015)
RR
Oregon(6/2/2015)
RR
Pennsylvania(6/2/2015)
RR
Puerto Rico(6/2/2015)
RR
Rhode Island(6/2/2015)
RR
South Carolina(6/2/2015)
RR
South Dakota(6/2/2015)
RR
Tennessee(6/2/2015)
RR
Texas(6/2/2015)
RR
Utah(6/2/2015)
RR
Vermont(6/2/2015)
RR
Virgin Islands(6/2/2015)
RR
Virginia(6/2/2015)
RR
Washington(6/2/2015)
RR
West Virginia(6/2/2015)
RR
Wisconsin(6/2/2015)
RR
Wyoming(6/2/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/8/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SUMRIDGE PARTNERS, LLC
SUMRIDGE PARTNERS, A COMPANY OF RAYMOND JAMES | SUMRIDGE PARTNERS, LLC
CRD#: 152437 / SEC#: , 8-68454
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
111 Town Square Place, Jersey City, NJ 07310
Mailing Address
111 Town Square, Jersey City, NJ 07310
Phone number
(201) 898-2525
Established
Delaware since 09/29/2009
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREST ACQUISITION CO. | OWNER | |
| CARTER, HORACE LEROY | PRESIDENT | 2157720 |
| CATLIN, CHRISTOPHER EDWIN | DIRECTOR OF OPERATIONS/ COO (2/2015) | 1759063 |
| CHAMPAGNE, JUSTIN TYLER | MUNICIPAL PRINCIPAL/ MANAGING DIRECTOR (7/2022) | 5822474 |
| CHAMPAGNE, RYAN | HEAD OF TRADING/ SENIOR MANAGING DIRECTOR (7/2022) | 4774950 |
| DELEON, ALLYSSA NICOLE | CFO/ FINOP | 6902665 |
| JIANG, JIANZHONG | CHIEF TECHNOLOGY OFFICER/ SENIOR MANAGING DIRECTOR (7/2022) | 4779195 |
| MORANO, KEVIN ROBERT | SENIOR MANAGING DIRECTOR | 1928935 |
| SHIM, KATHERINE | CHIEF COMPLIANCE OFFICER | 4204142 |
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.
