Randall M. 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.
Randall Mark O'connor was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 2002. Randall had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2016 - April 1, 2020
M FINANCIAL SECURITIES MARKETING, INC.
May 19, 2006 - November 10, 2008
M FINANCIAL SECURITIES MARKETING, INC.
May 8, 2002 - March 27, 2020
M HOLDINGS SECURITIES, 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
Current Firm
M FINANCIAL SECURITIES MARKETING, INC.
CRD#: 139304 / SEC#: , 8-67206
Contact information
FINRA licenses (50 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
