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Conall Sean O'callaghan

CRD# 4407050·Registered 2001 - 2012
Previously Registered: Being a previously registered professional could mean that Conall 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.

Professional Summary

Conall Sean O'callaghan was a registered financial advisor. Conall was a previously registered financial professional and started their career in finance 2001 - 2012. Conall had worked at 4 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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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

20 years in the financial services industry

Current & Past Employments

VIRTU FINANCIAL BD LLC·CRD# 148390
BD
New York, NY
January 9, 2009 - March 16, 2012
NATWEST MARKETS SECURITIES INC.·CRD# 11707
BD
Greenwich, CT
June 24, 2008 - January 7, 2009
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
November 6, 2006 - October 11, 2007
BEAR WAGNER SPECIALISTS LLC·CRD# 32691
BD
New York, NY
July 1, 2002 - July 26, 2002
BEAR WAGNER SPECIALISTS LLC·CRD# 32691
BD
New York, NY
June 4, 2001 - September 5, 2001

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Current Firm

VF
VIRTU FINANCIAL BD LLC

VIRTU FINANCIAL BD LLC

CRD#: 148390 / SEC#: 8-68015
BD
Terminated by SEC on 03/02/2020

Contact Information

Established

Delaware since 05/02/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
VIRTU FINANCIAL OPERATING, LLCSOLE OWNER, MANAGING MEMBER—
ITSKOVICH, ALEX PETERFINOP2901437
MESSINGER, CRAIG CHARLESCEO731877
MILLER, JUSTIN WADECHIEF COMPLIANCE OFFICER6418036
RUPPRECHT, NICHOLAS ANDREWPRINCIPAL OPERATIONS OFFICER5790389

Disclosures

Regulatory Event

17

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2007About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 2006About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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