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James P O'COnnor

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Woodlands, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-01-09
  • TX RA
    APPROVED
    Since 2009-01-09

Branch Locations

1780 Hughes Landing Blvd, The Woodlands, TX 77380 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated The Woodlands TX 01/2009 Present
Bank Of America, Na The Woodlands TX 12/2009 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-06-21
  • S63 Uniform Securities Agent State Law Examination
    1990-06-21
Other Names
  • James Patrick Oconnor
  • Jim Oconnor
  • James Patrick Oconnor

View on SEC IAPD

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Other Offices

PROVIDENT WEALTH ADVISORS, LLC · THE WOODLANDS, TX
AMERIPRISE FINANCIAL SERVICES, LLC · THE WOODLANDS, TX
J. W. COLE ADVISORS, INC. · THE WOODLANDS, TX
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Woodlands, TX
AMERIPRISE FINANCIAL SERVICES, LLC · The Woodlands, TX
ROSSBY FINANCIAL, LLC · The Woodlands, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · The Woodlands, TX
ALLSTATE FINANCIAL ADVISORS, LLC · Spring, TX

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