Suzanne M. 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.
Suzanne Marie Oconnell was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1979. Suzanne had worked at 17 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2014 - January 26, 2015
COHEN & COMPANY SECURITIES, LLC
November 5, 2010 - January 31, 2014
JVB FINANCIAL GROUP, LLC
September 19, 2007 - December 22, 2008
HSBC SECURITIES (USA) INC.
June 1, 2001 - May 21, 2007
LASALLE FINANCIAL SERVICES, INC.
May 12, 1998 - June 6, 2001
ABN AMRO INCORPORATED
February 7, 1996 - May 27, 1998
LASALLE FINANCIAL SERVICES, INC.
April 28, 1995 - October 23, 1995
CIC CAPITAL
February 22, 1995 - April 4, 1995
LASALLE FINANCIAL SERVICES, INC.
June 15, 1994 - November 9, 1994
GRUNTAL & CO., L.L.C.
January 25, 1993 - April 26, 1994
NORTHERN TRUST SECURITIES, INC.
April 7, 1988 - December 20, 1991
RAYMOND JAMES & ASSOCIATES, INC.
January 7, 1988 - March 17, 1988
THE STUART-JAMES COMPANY, INCORPORATED
August 20, 1987 - August 29, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
April 1, 1985 - August 12, 1986
TMA GOVERNMENT SECURITIES, LTD.
March 28, 1984 - October 26, 1984
COMMVEST SECURITIES,INC.
April 14, 1982 - March 21, 1984
JW GENESIS CLEARING CORP.
March 2, 1981 - February 12, 1982
KIDDER, PEABODY & CO. INCORPORATED
August 26, 1980 - November 17, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 1980 - September 7, 1980
RAUSCHER PIERCE REFSNES, INC.
October 29, 1979 - May 15, 1980
JW GENESIS CLEARING CORP.
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
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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