Catherine 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.
Catherine Ann O'connor, who also goes by Catherine Ann Sneyers, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 2004. Catherine had worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 30, Series 4, Series 27 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
March 2, 2020 - August 11, 2020
TMC BONDS L.L.C.
October 24, 2013 - December 24, 2013
ICE EXECUTION SERVICES, LLC
February 25, 2011 - October 24, 2013
ICE EXECUTION SERVICES, LLC
July 7, 2004 - August 1, 2022
ICE BONDS SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/3/2010
Limited Representative-Equity Trader ExamCurrent Firm
TMC BONDS L.L.C.
CRD#: 104507 / SEC#: , 8-52951
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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