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William R. O'connor

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CRD#: 6661379
WO

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.

William Raymond O'connor was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 2016. William had worked at 3 firms and has passed the SIE, Series 14, Series 53, Series 9, Series 10 and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 25, 2024 - March 11, 2026

BIVO FINANCIAL LLC

BD
CRD#: 331283
LOS GATOS, CA
Past

September 13, 2024 - December 3, 2024

TOBIN & COMPANY SECURITIES LLC

BD
CRD#: 137918
CHARLOTTE, NC
Past

August 16, 2016 - October 18, 2022

LANDOLT SECURITIES, INC.

BD
CRD#: 28352
ANTIOCH, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/22/2021
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/10/2019
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/11/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/8/2017
General Securities Principal Examination

Current Firm

BF
BIVO FINANCIAL LLC
BIVO FINANCIAL LLC

CRD#: 331283 / SEC#: , 8-71236

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
14551 La Rinconada Dr, Los Gatos, CA 95032
Mailing Address
14551 La Rinconada Dr, Los Gatos, CA 95032
Phone number
(408) 940-5021
Established
Delaware since 04/11/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
JAIN, SUJANCEO4017732
JAIN, VIKRANTCTO5727699
HOFFMAN, PETER ROSSFINOP2929643
O'CONNOR, WILLIAM RAYMONDCCO6661379

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

BIVO FINANCIAL LLC

CRD#: 331283

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