Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Vincent O'Connor is a financial advisor who has been working in the industry since August 14, 1984. Currently, James is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been a representative for the firm since 1988. James has worked at a number of firms throughout his career, including KIDDER, PEABODY & CO. INCORPORATED and QUICK & REILLY, INC. James is a Series 7, Series 63, and Series 65 licensed representative. James is registered as an Investment Advisor Representative in New York, and a Registered Representative in Texas. James is currently active in both Broker-Dealer and Investment Advisor roles.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
03/25/1991 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALBANY NY)
NA
11/05/1984 - 03/16/1988
KIDDER, PEABODY & CO. INCORPORATED
NA
07/26/1984 - 10/15/1984
QUICK & REILLY, INC.
IA
Issued 05/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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