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Andrew Charles Oconnell

Ubs Financial Services Inc.

Dallas, TX

Dallas, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2013-10-31
  • TX RA
    APPROVED
    Since 2013-10-31

Branch Locations

100 Crescent Court Suite 600, Dallas, TX 75201 • United States

Dallas, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Plano TX 10/2013 Present
Previous Registrations
  • 2008-10-01 → 2012-05-15
    J.P. Morgan Securities Llc
    Dallas, TX
    Dallas, TX
    Dallas, TX
  • 2007-06-27 → 2008-10-01
    J.P. Morgan Securities Inc.
    Dallas, TX
    Dallas, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-06-26
S63 Uniform Securities Agent State Law Examination 2002-10-28
  • S65 Uniform Investment Adviser Law Examination
    2007-06-26
  • S63 Uniform Securities Agent State Law Examination
    2002-10-28

View on SEC IAPD

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