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CF

Connor Farrington

OPAL SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 7487749
CF

Professional summary

Connor Farrington is a registered financial professional currently at OPAL SECURITIES, INC. located in New York, New York.

Connor is registered as a RR (Registered Representative) and started their career in finance in 2022. Connor has worked at 3 firms and has passed the Series 63, Series 7TO and SIE 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 Connor Farrington'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

September 27, 2024 - Present

OPAL SECURITIES, INC.

Office #1: 251 W 30th St 5th Floor, New York, NY 10001
BD
CRD#: 8246
New York, NY
Past

September 15, 2022 - October 19, 2022

CLEAR STREET LLC

BD
CRD#: 288933
Del Mar, CA
Past

May 25, 2022 - October 19, 2022

PRECISION SECURITIES, LLC

BD
CRD#: 103976
DEL MAR, CA

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

State Security Law Exam
RR
Series 63
Date: 12/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/25/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/11/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

OS
OPAL SECURITIES, INC.
OPAL SECURITIES, INC. | SOUTHAMPTON INVESTMENT SERVICES INC.

CRD#: 8246 / SEC#: , 8-24841

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

Main Address
251 W 30th St 5th Floor, New York, NY 10001
Mailing Address
340 North Westlake Blvd., Suite 160, Westlake Village, CA 91362
Phone number
(617) 639-9282
Established
Pennsylvania since 04/13/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 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#
OS HOLDINGS, INC.OWNER
GOLDBERG, ZACHARY ("NMN")CEO, ROP5850891
ONESTO, RICHARD ERNESTFINOP, PFO, POO2453096
SWEENEY, BRIAN PATRICKCHIEF COMPLIANCE OFFICER4174087

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

OPAL SECURITIES, INC.

CRD#: 8246New York, NY 10001

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