Edward C. Oconnor
Professional summary
Edward Cooper Oconnor, who also goes by Cooper O'connor, Edward O'connor, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Los Angeles, California and SANFORD C. BERNSTEIN & CO., LLC located in Los Angeles, California.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Edward has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, Series 31, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Edward Cooper Oconnor's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2018 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 1999 Avenue Of The Stars, Los Angeles, CA 90067August 8, 2012 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 1999 Avenue Of The Stars, Suite 2150, Los Angeles, CA 90067Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2018)
(9/28/2012)
(8/2/2018)
(5/30/2018)
(8/15/2019)
(6/11/2018)
(10/11/2022)
(7/15/2019)
(10/23/2023)
(5/30/2018)
(6/18/2020)
(10/9/2025)
(6/18/2020)
(5/30/2018)
(6/18/2020)
(6/17/2019)
(6/17/2019)
(1/3/2023)
(5/30/2019)
(6/15/2018)
(6/18/2020)
(9/13/2022)
(5/30/2018)
(7/31/2018)
(5/30/2018)
(6/11/2018)
(6/18/2020)
(1/15/2019)
(5/30/2018)
(5/30/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
Red Flags
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