Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Stephen Oconnor is a financial professional with over 10 years of experience in the industry. David is currently registered with Guggenheim Securities, LLC. David is also licensed as a Financial and Operations Principal. David has passed the Securities Industry Essentials Examination (SIE) and the Operations Professional Examination (Series 99TO) as well as the Financial and Operations Principal Examination (Series 27).
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.
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.
1
2
NY
09/28/2012 - Present
Guggenheim Securities, LLC (NEW YORK NY)
BC
Issued 09/27/2012
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure David Oconnor is the right advisor for you? Invested Better is here to help.
