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PO

Patrick L. O'connor

KITTLE CAPITAL MARKETS
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 6115257
PO

Professional summary

Patrick Lawrence O'connor is a registered financial professional currently at KITTLE CAPITAL MARKETS, LLC located in Indianapolis, Indiana.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2013. Patrick has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Patrick Lawrence O'connor's CRS (Customer Relationship Summary).
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 11, 2013 - Present

KITTLE CAPITAL MARKETS, LLC

Office #1: 310 E 96th Street Suite 400, Indianapolis, IN 46240Office #2: 310 E 96th Street Suite 400, Indianapolis, IN 46240
BD
CRD#: 159174
Indianapolis, IN

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
Florida
(9/11/2019)
RR
Indiana
(7/11/2013)
RR
Texas
(5/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/27/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KITTLE CAPITAL MARKETS, LLC
KITTLE CAPITAL MARKETS, LLC

CRD#: 159174 / SEC#: , 8-68967

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

Main Address
310 E 96th Street Suite 400, Indianapolis, IN 46240
Mailing Address
310 E 96th Street Suite 400, Indianapolis, IN 46240
Phone number
(317) 663-6888
Established
Indiana since 05/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JEFFREY L. KITTLE TRUSTMEMBER
HEBERT, MIKE JAMESCHIEF COMPLIANCE OFFICER1229298
KITTLE, JEFFREY LEETRUSTEE6021282
NUNN, RICHARD ANDREWCFO/FINOP1016528
O'CONNOR, PATRICK LAWRENCEPRESIDENT/REGISTERED PRINCIPAL6115257

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

KITTLE CAPITAL MARKETS, LLC

CRD#: 159174Indianapolis, IN 46240

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