Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stephen Oconnor is a financial professional with over 20 years of experience in the industry. James has worked with Equitable Advisors, LLC and Equitable Distributors, LLC. James holds several licenses and certifications including Series 7, 6, 63 and 65, and is registered in 52 states and the District of Columbia. James offers a variety of services including financial planning, portfolio management for individuals and businesses, pension consulting and educational seminars.
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.
A percentage of the total value of assets under management is charged.
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2
NY
02/08/2023 - Present
Equitable Advisors, LLC (NEW YORK NY)
NY
05/05/2022 - 01/06/2023
EQUITABLE ADVISORS, LLC (NEW YORK NY)
MA
06/26/2009 - 08/25/2010
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. (BOSTON MA)
MA
05/29/2008 - 06/04/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
CT
02/29/2008 - 05/20/2008
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. (SIMSBURY CT)
MA
10/16/2000 - 02/29/2008
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
MA
06/26/1995 - 10/04/1995
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
IA
Issued 09/26/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/12/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2008
Series 7 - General Securities Representative Examination
BC
Issued 10/13/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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