Rory Pena O'COnnor

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2014 → 07/2022
  Citigroup
  New York, NY
• 08/2022 → Present
  Jpmorgan Chase Bank, Na
  San Francisco, CA
• 08/2022 → Present
  Jpmorgan Securities Llc
  San Francisco, CA
• 02/2021 → Present
  234 Oakwood Drive Llc
  Fairfield, CT

Previous Registrations

• 2014-11-03 → 2022-07-27
  Citigroup Global Markets Inc.
  New York, NY
  San Francisco, CA

Other Businesses

Entity Name: Greensparc Investment related: No Address: 2466 Francisco St APT 103, San Francisco, CA 94123; https://www.greensparc.com/ Nature of the other business: Technology Position/Title/Relationship: Owner/Partner Start Date: 05/23/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Investing in Greensparc. Entity Name: Hotel Club Systems Inc. Investment related: No Address: 8 The Green, Suite 5016, Dover, DE 19901 Nature of the other business: Club Position/Title/Relationship: Owner/Partner Start Date: 03/26/2025 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Groundfloor is a startup that builds community spaces where people hang out, work, or join groups around stuff they like (https://groundfloorclub.com/). I am an investor with no role within the company. Entity Name: 234 Oakwood Drive LLC Investment related: No Address: 234 Oakwood Drive, Fairfield, CT 06824 Nature of the other business: Holding Company Position/Title/Relationship: Owner/Partner Start Date: 02/19/2021 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Holding company. Entity Name: United Irish Cultural Center Investment related: No Address: 2700 45th Ave, San Francisco, CA 94116 Nature of the other business: Nonprofit Position/Title/Relationship: Board Member Start Date: 11/01/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: I am apart of two subcommittees for the United Irish Cultural Center: the Rising Leaders and the Finance Committee. I co-chair rising leaders which tries to involve younger members of the community. The finance committee is to ensure everything financial is being done in an appropriate manner.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-10-31
• S63 Uniform Securities Agent State Law Examination
  2014-10-09

Other Names

• Rory P Oconnor
• Rory Pena Oconnor
• Rory Oconnor