Thomas Paul Oconnor Sr
Professional Summary
Thomas Paul Oconnor SR, who also goes by Thomas Paul Oconnor, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1972 - 2002. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Paul Oconnor
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
54 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
BIRKELBACH INVESTMENT SECURITIES | BIRKELBACH INVESTMENT SECURITIES, INC.
Contact Information
Established
Illinois since 05/30/1978Firm Type
CorporationFiscal Year End
DecemberDocuments
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
11Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Jun 1987Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 000 — General Securities Principal Examination
Passed Jun 1972Series 1 — Registered Representative Examination
Passed Jun 1972Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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