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PO

Patricia M. O'connor

PROFUNDS DISTRIBUTORS
New York, NY 10001
Some features on this profile are disabled
CRD#: 5114392
PO

Professional summary

Patricia Mary O'connor, who also goes by Patricia O'connor, is a registered financial professional currently at PROFUNDS DISTRIBUTORS, INC. located in New York, New York.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 2009. Patricia has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia O'connor

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patricia Mary O'connor'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®
None

Experience

Current

May 23, 2022 - Present

PROFUNDS DISTRIBUTORS, INC.

Office #1: 66 Hudson Blvd E, New York, NY 10001
BD
CRD#: 19541
New York, NY
Past

May 25, 2019 - April 18, 2022

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
NEW YORK, NY
Past

August 5, 2009 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
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
New York
(6/10/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PROFUNDS DISTRIBUTORS, INC.
CONCORD FINANCIAL GROUP, INC. | PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541 / SEC#: , 8-37601

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
7272 Wisconsin Ave. 21st Floor, Bethesda, MD 20814-6527
Mailing Address
7272 Wisconsin Ave. 21st Floor, Bethesda, MD 20814-6527
Phone number
(240) 497-6400
Established
Delaware since 12/22/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PROFUND ADVISORS LLCSOLE SHAREHOLDER109585
COHEN, STEVEN BRIANPRESIDENT2737221
FRYE, VICTOR MORSECHIEF COMPLIANCE OFFICER1253717
MORONEY, NOELLEFINOP/TREASURER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONAL OFFICER6582471
MORRIS, RICHARD FRANCISCHIEF LEGAL OFFICER5097044

Disclosures

Regulatory Event1

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.

Company Information

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541New York, NY 10001

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