Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lawrence? Claim Your ProfileLawrence Vincent Oconnor is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Lawrence has been in the securities industry since October 22, 1975. Lawrence holds Series 3, 7, 9, 10, 63 and SIE licenses and is registered in 35 states, as well as with FINRA. Lawrence's previous experience includes positions at UBS Financial Services Inc., Kidder, Peabody & Co. Incorporated, PaineWebber Incorporated, and Merrill Lynch, Pierce, Fenner & Smith 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.
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
NJ
10/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FLORHAM PARK NJ)
NJ
01/28/1995 - 12/01/2009
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
NY
05/04/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NJ
02/08/1988 - 05/18/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
09/26/1978 - 02/12/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
10/23/1975 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 12/19/1980
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 05/09/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1989
Series 3 - National Commodity Futures Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 10/18/1975
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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