Douglas T. O'connor

EQUITABLE DISTRIBUTORS

Charlotte, NC 28262

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CRD#: 6062641

Professional summary

Douglas T. Zachary O'connor, who also goes by Douglas T Zachary O'connor, Zach O'connor, Zachary O'connor, Douglas Zachary Oconnor, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 2012. Douglas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Douglas T Zachary O'connor | Zach O'connor | Zachary O'connor | Douglas Zachary Oconnor

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 Douglas T. Zachary 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

September 18, 2023 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262

CRD#: 25900

Charlotte, NC

Past

April 2, 2013 - August 24, 2023

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

COLUMBUS, OH

Past

January 29, 2013 - March 26, 2013

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

June 8, 2012 - March 26, 2013

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Ohio
(9/18/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/11/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/7/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8501 Ibm Drive, Suite 150, Charlotte, NC 28262

Mailing Address

1345 Avenue Of The Americas, New York, NY 10105

Phone number

(212) 314-2137

Established

Delaware since 01/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EQ HOLDINGS, LLC	OWNER
D'AUGUSTE, ARIELLE RACHEL	GENERAL COUNSEL	7252573
DURSO, ALFRED JOSEPH	CHIEF COMPLIANCE OFFICER	2546771
KAIS, JAMES MICHAEL	DIRECTOR	2529327
LANE, NICHOLAS BURRITT	CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER	4994948
SCANLON, STEPHEN CAULEY	DIRECTOR	2219308
SCAPPATOR, CANDACE LYNN	FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER	4697607

Disclosures

Arbitration

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Douglas T. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas T. Zachary O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI DISTRIBUTOR US, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2013

Series 63

Date: 7/11/2012

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2012

Series 6

Date: 6/7/2012

FINRA

Current Firm

EQUITABLE DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EQUITABLE DISTRIBUTORS, LLC

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