Maigen A. 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.
Maigen Aileen O'connor, who also goes by Maigen Aileen O'connor Mrs, Maigen Aileen O'marra Miss, Maigen Aileen Oconnor Mrs, Maigen Oconnor, Maigen Aileen Oconnor, Maigen Aileen O`connor, was a registered financial professional .
Maigen is a previously registered financial professional and started their career in finance in 2004. Maigen had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2024 - July 8, 2026
ADP BROKER-DEALER, INC.
December 12, 2018 - May 24, 2024
EQUITABLE DISTRIBUTORS, LLC
March 23, 2018 - December 10, 2018
CWM, LLC
January 24, 2018 - December 10, 2018
CETERA WEALTH SERVICES, LLC
June 21, 2016 - July 12, 2017
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
November 4, 2015 - June 23, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 15, 2015 - July 6, 2016
SIGNATOR INVESTORS, INC.
April 14, 2015 - July 6, 2016
SIGNATOR INVESTORS, INC.
October 8, 2008 - April 16, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 13, 2008 - April 16, 2015
NYLIFE DISTRIBUTORS LLC
December 15, 2004 - September 21, 2007
NYLIFE DISTRIBUTORS LLC
March 10, 2004 - June 15, 2004
VANGUARD MARKETING CORPORATION
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
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
Red Flags
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.
