William J. O'connor
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.
William Joseph O'connor, who also goes by William Joseph Oconnor, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1967. William had worked at 10 firms and has passed the Series 7TO, SIE, Series 1, Series 53, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2008 - January 3, 2023
O'CONNOR & COMPANY SECURITIES INC.
August 17, 2001 - June 12, 2008
HILLTOP SECURITIES INC.
August 20, 1986 - August 17, 2001
O'CONNOR SECURITIES
July 31, 1984 - June 26, 1986
B.O.C.L. SECURITIES CORP.
May 16, 1983 - June 26, 1986
BANCROFT, O'CONNOR, CHILTON & LAVELL, INC.
June 25, 1979 - May 9, 1983
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
August 13, 1971 - February 26, 1973
DUPONT WALSTON, INCORPORATED
January 12, 1967 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 9/6/1967
Registered Representative ExaminationSeries 40
Date: 2/28/1977
Registered Principal ExaminationCurrent Firm
O'CONNOR & COMPANY SECURITIES INC.
CRD#: 146787 / SEC#: , 8-67853
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OCONNOR, WILLIAM ANTHONY | PRESIDENT / CCO / CFO / FINOP / DIRECTOR | 2796133 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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