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John Joseph O'COnnor

Ubs Financial Services Inc.

Peabody, MA

Lowell, MA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2023-05-31
TX RA APPROVED 2010-06-28
  • ME RA
    APPROVED
    Since 2023-05-31
  • TX RA
    APPROVED
    Since 2010-06-28

Branch Locations

8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • United States

Lowell, MA • 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 Andover MA 06/2010 Present
Previous Registrations
  • 2009-01-21 → 2010-07-16
    Barclays Capital Inc.
    Boston, MA
  • 2008-03-14 → 2008-10-15
    Lehman Brothers Inc.
    New York, NY
    Boston, MA
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-07
S63 Uniform Securities Agent State Law Examination 1980-08-06
  • S66 Uniform Combined State Law Examination
    2008-03-07
  • S63 Uniform Securities Agent State Law Examination
    1980-08-06
Other Names
  • John Joseph Oconnor

View on SEC IAPD

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