JO

John Michael O'connor

IAR
RR
john m o'connor
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

John Michael O'connor, who also goes by John M O'connor, is a registered financial advisor at JANNEY MONTGOMERY SCOTT LLC located in Mt. Laurel, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. John has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 24, Series 4, Series 10 and Series 9 exams.

Disclosures
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.

Advisor Information

ADVISOR PROFILE
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (5)
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RR
Illinois (11/14/2022)
IAR
Illinois (11/14/2022)
RR
New Jersey (11/14/2022)
RR
Pennsylvania (11/14/2022)
IAR
Pennsylvania (11/14/2022)
SRO REGISTRATIONS (3)
RR
FINRA APPROVED
RR
Nasdaq Stock Market APPROVED
RR
New York Stock Exchange APPROVED

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYERS
RIA
JANNEY MONTGOMERY SCOTT LLC (#463)
701 East Gate Drive Suite 210, Mt. Laurel, NJ, 08054
11/14/2022 - Current
BD
JANNEY MONTGOMERY SCOTT LLC (#463)
701 East Gate Drive Suite 210, Mt. Laurel, NJ, 08054
11/14/2022 - Current
PREVIOUS EMPLOYERS (8)
RIA
M1 FINANCE (#249787)
12/17/2021 - 9/7/2022
Chicago, IL
BD
M1 FINANCE LLC (#281242)
12/10/2021 - 9/7/2022
Chicago, IL
RIA
LINCOLN INVESTMENT (#519)
2/22/2017 - 6/2/2021
Fort Washington, PA
BD
LINCOLN INVESTMENT (#519)
2/21/2017 - 6/2/2021
Fort Washington, PA
RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (#7691)
4/15/2004 - 2/16/2017
Pennington, NJ
BD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (#7691)
4/27/2001 - 2/16/2017
Pennington, NJ
BD
IDS LIFE INSURANCE COMPANY (#6321)
8/29/2000 - 1/25/2001
Minneapolis, MN
BD
AMERIPRISE FINANCIAL SERVICES, LLC (#6363)
8/29/2000 - 1/25/2001
Minneapolis, MN
JO
Claim Profile

John Michael O'connor

IAR
RR
Experience: 23 years / 7 firms
CRD#: 4219485


LOCATION
No current location data
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As featured in Financial Planning
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