Nancy J. 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.
Nancy Jane Oconnell, who also goes by Nancy Jane Mccaffrey, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1978. Nancy had worked at 3 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 1986 - November 30, 1987
NEW ENGLAND DISCOUNT BROKERAGE, INC.
January 13, 1986 - October 2, 1986
MUFG AMERICAS CORPORATE ADVISORY, INC.
June 19, 1978 - September 28, 1983
STOCKCROSS FINANCIAL SERVICES, 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
Current Firm
NEW ENGLAND DISCOUNT BROKERAGE, INC.
CRD#: 17907 / SEC#: , 8-35203
Contact information
Documents
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.
