James K 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:

Current Employers

J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-10-20
NY	RA	APPROVED	2021-05-03
TX	RA	APPROVED_RES	2013-10-30
NJ	RA	APPROVED	2012-10-01

FL RA
APPROVED

Since 2025-10-20
NY RA
APPROVED

Since 2021-05-03
TX RA
APPROVED_RES

Since 2013-10-30
NJ RA
APPROVED

Since 2012-10-01

Branch Locations

Rte. 100 & 202, Somerstown Ctr., Somers, NY 10589 • United States

925 Westchester Ave, West Harrison, NY 10604 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
J.P. Morgan Securities Llc	West Harrison	NY	10/2012	Present
Jpmorgan Chase Bank, N.A.	West Harrison	NY	10/2012	Present

10/2012 → Present

J.P. Morgan Securities Llc

West Harrison, NY
10/2012 → Present

Jpmorgan Chase Bank, N.A.

West Harrison, NY

Previous Registrations

2005-04-26 → 2012-10-01

Chase Investment Services Corp.

Somers, NY

Katonah, NY

Somers, NY

Yorktown Heights, NY

Elmsford, NY

Yorktown Heights, NY

Yorktown, NY

White Plains, NY

White Plains, NY

White Plains, NY

White Plains, NY

Elmsford, NY

Thornwood, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-06-18

S66 Uniform Combined State Law Examination

1999-06-18

Other Names

Jim Oconnor
James Kevin Oconnor
James Kevin O'COnnor

View on SEC IAPD