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Kevin M. Oconnor

TRADEMAS
New York, NY 10005
Some features on this profile are disabled
CRD#: 838307
KO

Professional summary

Kevin Malachy Oconnor is a registered financial professional currently at TRADEMAS INC. located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1977. Kevin has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 5, Series 7, Series 14, Series 27, Series 24 and Series 4 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 Kevin Malachy Oconnor's 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

January 2, 2020 - Present

TRADEMAS INC.

Office #1: Nyse Trading Floor 11 Wall Street, New York, NY 10005Office #2: Nyse 11 Wall Street, New York, NY 10005
BD
CRD#: 130030
New York, NY
Past

January 30, 2014 - January 2, 2020

PTR, INC.

BD
CRD#: 31559
COLLINGSWOOD, NJ
Past

September 2, 2008 - December 31, 2009

REGAL SECURITIES, INC.

BD
CRD#: 7297
NEW YORK, NY
Past

September 8, 2005 - October 30, 2007

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

August 22, 2005 - February 3, 2014

ON POINT EXECUTIONS, LLC

BD
CRD#: 132390
NEW YORK, NY
Past

May 24, 2004 - August 22, 2005

MEADE BROKERAGE SERVICES, L.L.C.

BD
CRD#: 126405
FLORHAM PARK, NJ
Past

February 25, 2004 - May 11, 2004

WHITEHALL BROKERAGE SERVICES, LTD.

BD
CRD#: 33564
ESSEX, CT
Past

September 26, 2003 - January 7, 2004

MEADE BROKERAGE SERVICES, L.L.C.

BD
CRD#: 126405
FLORHAM PARK, NJ
Past

May 31, 2000 - November 6, 2002

FIRST OPTIONS OF CHICAGO, INC.

BD
CRD#: 13822
CHICAGO, IL
Past

January 13, 1986 - March 6, 2000

FIRST OPTIONS OF CHICAGO, INC.

BD
CRD#: 13822
CHICAGO, IL
Past

July 13, 1978 - July 3, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635
Past

June 1, 1977 - July 13, 1978

BECKER SECURITIES INCORPORATED

BD
CRD#: 6796

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: 6/6/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/9/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 5
Date: 9/30/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/3/2016
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/20/2007
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1977
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TI
TRADEMAS INC.
BOWERS SECURITIES INC. | TRADEMAS INC. | JOHN MATTHEW BOWERS | JOHN M. BOWERS, SOLE PROPRIETOR | JMB, SOLE PROPRIETOR

CRD#: 130030 / SEC#: , 8-66292

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

Main Address
Nyse Trading Floor 11 Wall Street, New York, NY 10005
Mailing Address
Accounting & Compliance International 77 Water Street, Suite 1604, New York, NY 10005
Phone number
(212) 668-8700
Established
New York since 08/25/2006
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASIELLO, FRANK THOMASCEO/PRES/TREAS/SECY/COO4490475
ATTANASIO, ELIZABETH MARIEFINOP/PFO/POO5325007
SCHEPPS, MARK HCCO2042034

Disclosures

Regulatory Event7

Red Flags

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Company Information

TRADEMAS INC.

CRD#: 130030New York, NY 10005

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