Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gwen? Claim Your ProfileGwen Carol O'Connor has been in the financial services industry since 1992. Gwen is currently registered as an Investment Advisor Representative with Charles Schwab & CO., Inc. Gwen is also registered with the states of Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Iowa, Maryland, Massachusetts, Michigan, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, and West Virginia. Gwen holds licenses for Series 6, 7, 9, 10, 63, and 66. Gwen has worked at W. S. GRIFFITH & CO., INC., Phoenix Home Life, Charles Schwab & CO., INC., and Charles Schwab Bank.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NJ
03/23/2021 - Present
Charles Schwab & CO., Inc. (Morristown NJ)
CT
09/04/1992 - 03/03/1994
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
BOTH
Issued 07/01/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/1994
Series 7 - General Securities Representative Examination
BC
Issued 09/02/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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