William R. Oconnell
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 Richard Oconnell was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 9 firms and has passed the Series 63, SIE, Series 1, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - July 28, 2017
ROOSEVELT & CROSS, INCORPORATED
November 16, 2006 - January 25, 2008
DAIWA CAPITAL MARKETS AMERICA INC.
January 17, 2006 - November 15, 2006
LM ANDERSON SECURITIES, LLC
June 14, 2005 - November 15, 2006
MATRIX CAPITAL GROUP, INC.
May 13, 2003 - April 29, 2005
FULCRUM GLOBAL PARTNERS LLC
November 5, 2002 - May 8, 2003
LION'S GROUP TRADING LLC
June 8, 2000 - December 21, 2000
WEATHERLY SECURITIES CORPORATION
August 11, 1998 - June 5, 2000
WORLDCO, L.L.C.
July 15, 1997 - August 19, 1998
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/4/1980
Registered Representative ExaminationCurrent Firm
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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