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Mary L Oconnor

Morgan Stanley

New York, NY

Brooklyn, NY

CRD 5555448

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Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

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

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

Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-20
TX RA APPROVED 2021-06-17
  • NY RA
    APPROVED
    Since 2021-06-20
  • TX RA
    APPROVED
    Since 2021-06-17

Branch Locations

55 East 52Nd Street 12Th Floor, New York, NY 10055 • United States

Brooklyn, NY • 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
J.P Morgan Securities Llc. New York NY 04/2012 11/2017
J.P Morgan Chase Bank New York NY 04/2012 11/2017
Brooklyn Brew Shop Brooklyn NY 11/2016 12/2016
Ubs Financial Services Inc. New York NY 11/2017 04/2021
Morgan Stanley New York NY 05/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-19
  • S66 Uniform Combined State Law Examination
    2011-09-19
Other Names
  • Mary Lee O Connor
  • Mary Lee Oconnor
  • Mary Lee O'COnnor

View on SEC IAPD

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