Thomas P. Oconnor
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.
Thomas Paul Oconnor SR, who also goes by Thomas Paul Oconnor, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 10 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 000, Series 1, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2001 - July 18, 2002
BIRKELBACH INVESTMENT SECURITIES, INC.
May 16, 2001 - June 4, 2001
OBERWEIS SECURITIES, INC.
September 8, 1998 - May 25, 2001
LISS FINANCIAL SERVICES
February 26, 1997 - September 24, 1998
GENEVA SECURITIES,INC.
November 27, 1995 - February 21, 1997
SHAMROCK PARTNERS, LTD
April 21, 1992 - November 7, 1995
GENEVA SECURITIES,INC.
February 4, 1991 - April 16, 1992
HAMILTON INVESTMENTS, INC.
March 18, 1983 - January 4, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - July 23, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 1977 - March 11, 1983
E. F. HUTTON & COMPANY INC
July 3, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 15
Date: 6/15/1987
Foreign Currency Options ExaminationSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationSeries 000
Date: 6/28/1972
General Securities Principal ExaminationSeries 1
Date: 6/28/1972
Registered Representative ExaminationSeries 8
Date: 8/27/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
