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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Joseph O'Connor is a financial advisor with UBS Financial Services Inc. John Joseph O'Connor has been in the industry since April 15, 1979. John Joseph O'Connor has a Series 7, Series 63 and Series 66 license. Prior to joining UBS Financial Services Inc. John Joseph O'Connor was employed at Barclays Capital Inc., Lehman Brothers Inc., SG Cowen Securities Corporation, Cowen & Co., Hambrecht & Quist Incorporated and Kidder, Peabody & Co. Incorporated.
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
MA
06/28/2010 - Present
UBS Financial Services Inc. (PEABODY MA)
MA
09/22/2008 - 07/16/2010
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
10/10/2000 - 09/22/2008
LEHMAN BROTHERS INC. (BOSTON MA)
NY
07/01/1998 - 10/18/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
06/16/1992 - 07/01/1998
COWEN & CO. (NEW YORK NY)
CA
06/07/1988 - 06/22/1992
HAMBRECHT & QUIST INCORPORATED (SAN FRANCISCO CA)
NA
02/06/1984 - 06/15/1988
COWEN & CO.
NA
12/08/1980 - 02/13/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
04/16/1979 - 01/05/1981
KIDDER, PEABODY & CO. INCORPORATED
BOTH
Issued 03/07/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/06/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1978
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
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