Adam P. Oconnor
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.
Adam Peter Oconnor, who also goes by Adam P. O'connor, Adam P Oconnor, Adam Peter Oconnor, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2007. Adam had worked at 19 firms and has passed the Series 99TO, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2020 - August 27, 2021
FORESIDE GLOBAL SERVICES, LLC
June 19, 2019 - November 14, 2019
PARNASSUS FUNDS DISTRIBUTOR, LLC
May 21, 2018 - November 14, 2019
SMEAD FUNDS DISTRIBUTORS, LLC
May 21, 2018 - November 14, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
May 21, 2018 - November 14, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
May 21, 2018 - November 14, 2019
ORBIS INVESTMENTS (U.S.), LLC
May 21, 2018 - November 14, 2019
IMST DISTRIBUTORS, LLC
May 21, 2018 - November 14, 2019
FUNDS DISTRIBUTOR, LLC
May 21, 2018 - November 14, 2019
FORESIDE INVESTMENT SERVICES, LLC
May 21, 2018 - November 14, 2019
FORESIDE GLOBAL SERVICES, LLC
May 21, 2018 - November 14, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
May 21, 2018 - November 14, 2019
FORESIDE FINANCIAL SERVICES, LLC
May 21, 2018 - November 14, 2019
FORESIDE ASSOCIATES, LLC
May 21, 2018 - November 14, 2019
COMPASS DISTRIBUTORS, LLC
May 21, 2018 - November 14, 2019
BD COMPLIANCE SOLUTIONS, LLC
February 27, 2018 - August 27, 2021
FORESIDE FUND SERVICES, LLC
December 9, 2014 - February 2, 2018
SAYBRUS EQUITY SERVICES, LLC
September 21, 2010 - February 16, 2018
1851 SECURITIES, INC
February 4, 2009 - September 21, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
February 7, 2007 - February 4, 2009
VP DISTRIBUTORS LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 2/25/2019
General Securities Representative ExaminationCurrent Firm
FORESIDE GLOBAL SERVICES, LLC
CRD#: 147382 / SEC#: , 8-67903
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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.
