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William R. O'connor

BIVO FINANCIAL LLC
LOS GATOS, CA 95032
Some features on this profile are disabled
CRD#: 6661379
WO

Professional summary

William Raymond O'connor is a registered financial professional currently at BIVO FINANCIAL LLC located in Los Gatos, California.

William is registered as a RR (Registered Representative) and started their career in finance in 2016. William has worked at 3 firms and has passed the SIE, Series 14, Series 53, Series 9, Series 10 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 William Raymond 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

November 25, 2024 - Present

BIVO FINANCIAL LLC

Office #1: 14551 La Rinconada Dr, Los Gatos, CA 95032
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
SRO Registrations
RR
FINRA

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)
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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#: 331283Los Gatos, CA 95032

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