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Walter Richard Oconnell

UBS Securities LLC

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About Walter Richard Oconnell

Walter Richard Oconnell is a financial advisor with UBS Securities LLC in NEW YORK, NY. Walter has been in the industry since 2002 and has a broad range of experience. Walter has worked for several firms, including CREDIT SUISSE SECURITIES (USA) LLC, CITIGROUP GLOBAL MARKETS INC., and RBS GREENWICH CAPITAL. Walter holds the Series 7, 10, 24, 57TO, and SIE licenses. Walter is registered with the FINRA and the state of North Carolina.

Firm Information

Walter Oconnell is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Walter Oconnell’s Registration & Firm History

NY

04/04/2024 - Present

UBS Securities LLC (NEW YORK NY)

NY

10/22/2007 - 03/08/2024

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

06/08/2006 - 10/25/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

CT

09/25/2001 - 02/27/2006

RBS GREENWICH CAPITAL (STAMFORD CT)

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Licenses & Designations

BC

Issued 08/04/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/07/2009

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/24/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Walter Richard Oconnell.
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