Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Michael Oconnor is a financial advisor registered with UBS Financial Services Inc. Brian has been in the financial industry since July 31, 2020 and has a Series 7, 63, 66 and SIE. Brian has been registered with UBS Financial Services Inc. since February 2024. Prior to that, Brian worked for M Holdings Securities, Inc. and RBS Securities Inc. Brian specializes in providing financial planning, portfolio management, and educational seminars. Brian's other specializations include retirement planning, education planning, insurance, and estate planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
07/30/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
10/04/2021 - 01/10/2024
M HOLDINGS SECURITIES, INC. (NEW YORK NY)
CT
07/13/2009 - 11/02/2010
RBS SECURITIES INC. (STAMFORD CT)
BOTH
Issued 07/29/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/22/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/04/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/17/2021
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/2009
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Brian Oconnor is the right advisor for you? Invested Better is here to help.
