AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CO

Christopher J. O'connor

ARETE RESEARCH LLC
Boston, MA 02110
Some features on this profile are disabled
CRD#: 6074680
CO

Professional summary

Christopher John O'connor, who also goes by Chris John O'connor, Christopher John Oconnor, is a registered financial professional currently at ARETE RESEARCH LLC located in Boston, Massachusetts.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2013. Christopher has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris John O'connor | Christopher John 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 Christopher John 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

July 16, 2018 - Present

ARETE RESEARCH LLC

Office #1: 101 Arch St Floor 8, Boston, MA 02110
BD
CRD#: 128496
Boston, MA
Past

July 26, 2017 - September 23, 2019

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA
CRD#: 174433
BOSTON, MA
Past

June 21, 2016 - July 25, 2018

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

October 12, 2015 - June 2, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOSTON, MA
Past

September 11, 2015 - June 2, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOSTON, MA
Past

April 30, 2015 - July 23, 2015

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
BOSTON, MA
Past

March 12, 2013 - March 19, 2013

EQUINOX SECURITIES, INC.

BD
CRD#: 145790
REDLANDS, CA
Past

March 12, 2013 - July 12, 2013

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
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
California
(7/16/2018)
RR
Connecticut
(3/30/2023)
RR
Florida
(7/16/2018)
RR
Illinois
(7/16/2018)
RR
Massachusetts
(7/16/2018)
RR
New York
(7/16/2018)
RR
North Carolina
(9/17/2025)
RR
Oregon
(7/16/2018)
RR
Texas
(7/16/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/9/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/2012
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: 3/11/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/20/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AR
ARETE RESEARCH LLC
ARETE RESEARCH LLC

CRD#: 128496 / SEC#: , 8-66145

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1309 Walmsley Ave, Dallas, TX 75208
Mailing Address
1309 Walmsley Ave, Dallas, TX 75208
Phone number
(617) 357-4801
Established
Delaware since 06/20/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARETE RESEARCH LLPOWNER
HASSAY, LAURIE ANNFINOP5676461
MERRILL, FRANCIS ROBERT IVHEAD OF US EQUITY SALES, CCO4734216

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

ARETE RESEARCH LLC

CRD#: 128496Boston, MA 02110

TRUST BUT VERIFY

Monitor Christopher O'connor

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Martin Lee Robbins II
Martin RobbinsAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Norwell, MA
TR
Tamara RoseAdvisorCheck Check Mark
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
RR
BOSTON, MA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics