Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary L. Oconnor is a registered representative with Morgan Stanley. Mary has been working in the financial services industry since 2011. Prior to joining Morgan Stanley, Mary was registered with UBS Financial Services Inc. and J.P. Morgan Securities LLC. Mary has a Series 66, Series 10, Series 9, SIE and Series 7 license. Mary is registered in 53 states and the District of Columbia. Mary's areas of specialization include asset allocation advice, financial planning, pension consulting and portfolio management.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/17/2021 - Present
Morgan Stanley (New York NY)
NY
12/06/2017 - 05/11/2021
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
04/30/2012 - 11/27/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
04/25/2011 - 05/02/2012
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
BOTH
Issued 09/19/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/25/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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