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James Vincent O'COnnor

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 1991-03-25
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 1991-03-25

Branch Locations

69 State St, Albany, NY 12207 • 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 Albany NY 01/1988 Present
Bank Of America, N.A. Albany NY 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-04
S63 Uniform Securities Agent State Law Examination 1984-12-06
  • S65 Uniform Investment Adviser Law Examination
    1996-05-04
  • S63 Uniform Securities Agent State Law Examination
    1984-12-06
Other Names
  • James V Oconnor
  • James Vincent Oconnor

View on SEC IAPD

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Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

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