CO
Conor W. Ocallaghan
DISTRIBUTION SERVICES
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 4813694
CO
Professional summary
Conor William Ocallaghan, who also goes by Conor William O'callaghan, is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in Phoenix, Arizona.
Conor is registered as a RR (Registered Representative) and started their career in finance in 2005. Conor has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Conor William O'callaghan
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.
CRS (Client Relationship Summary) - BD
Click below to view Conor William Ocallaghan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 27, 2025 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 2502 East Camelback Road Suite 210, Phoenix, AZ 85016BD
CRD#: 25938
Phoenix, AZ
Past
September 1, 2021 - January 15, 2025
BTIG, LLC
BD
CRD#: 122225
SAN FRANCISCO, CA
Past
March 30, 2020 - September 30, 2021
BROWNSTONE INVESTMENT GROUP, LLC
BD
CRD#: 43884
NEW YORK, NY
Past
August 9, 2010 - April 7, 2020
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
September 9, 2009 - May 26, 2010
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
MIAMI, FL
Past
September 21, 2005 - August 1, 2008
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/27/2025)
RR
Alaska(3/27/2025)
RR
Arizona(3/27/2025)
RR
Arkansas(3/27/2025)
RR
California(3/27/2025)
RR
Colorado(3/27/2025)
RR
Connecticut(3/27/2025)
RR
Delaware(3/27/2025)
RR
District of Columbia(3/27/2025)
RR
Florida(3/27/2025)
RR
Georgia(3/27/2025)
RR
Hawaii(3/27/2025)
RR
Idaho(3/27/2025)
RR
Illinois(3/27/2025)
RR
Indiana(3/27/2025)
RR
Iowa(3/27/2025)
RR
Kansas(3/27/2025)
RR
Kentucky(3/27/2025)
RR
Louisiana(3/27/2025)
RR
Maine(3/27/2025)
RR
Maryland(3/27/2025)
RR
Massachusetts(3/27/2025)
RR
Michigan(3/27/2025)
RR
Minnesota(3/27/2025)
RR
Mississippi(3/27/2025)
RR
Missouri(3/27/2025)
RR
Montana(3/27/2025)
RR
Nebraska(3/27/2025)
RR
Nevada(3/27/2025)
RR
New Hampshire(3/27/2025)
RR
New Jersey(3/27/2025)
RR
New Mexico(3/27/2025)
RR
New York(3/27/2025)
RR
North Carolina(3/27/2025)
RR
North Dakota(3/27/2025)
RR
Ohio(3/28/2025)
RR
Oklahoma(3/27/2025)
RR
Oregon(3/27/2025)
RR
Pennsylvania(3/27/2025)
RR
Puerto Rico(3/27/2025)
RR
Rhode Island(3/27/2025)
RR
South Carolina(3/27/2025)
RR
South Dakota(3/27/2025)
RR
Tennessee(3/27/2025)
RR
Texas(3/27/2025)
RR
Utah(3/27/2025)
RR
Vermont(3/27/2025)
RR
Virgin Islands(3/27/2025)
RR
Virginia(3/27/2025)
RR
Washington(3/27/2025)
RR
West Virginia(3/27/2025)
RR
Wisconsin(3/27/2025)
RR
Wyoming(3/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
