DO
DO
Dennis Oconnor
39 Years of Experience
Northpoint, NY
6 DisclosuresBrokerSells Insurance
Dennis Oconnor is a registered investment advisor, based in Northpoint, NY, with 39 years of industry experience. Dennis is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Northpoint, NY
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Regulatory History (6)
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Judgment / Lien
May 2017Judgment / Lien
September 2015Judgment / Lien
August 2013Judgment / Lien
January 2009Judgment / Lien
October 2008Judgment / Lien
March 2008Other Business ActivitiesSells Insurance
Dennis works as an investment advisor for Blackridge Asset Management and as an insurance agent for Top Advisors Group. Both activities started in November 2023 and each takes about a quarter of his time.
Employment History
Current Registrations
Peak Brokerage Services, LLC
November 2023 - Present · 2 yrs 11 mos
Blackridge Asset Management, LLC
November 2023 - Present · 2 yrs 11 mos
Peak Brokerage Services, LLCBroker
November 2023 - Present · 2 yrs 11 mos
Previous Registrations
Cetera Advisors LLC
March 2021 - November 2023 · 2 yrs 8 mos
Cetera Advisors LLCBroker
August 2013 - November 2023 · 10 yrs 3 mos
LPL Financial LLCBroker
December 1993 - September 2013 · 19 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1990 - December 1993 · 3 yrs
A. G. Edwards & Sons, INC.Broker
June 1990 - October 1990 · 4 mos
Shearson Lehman Hutton INC.Broker
September 1988 - June 1990 · 1 yr 9 mos
Prudential-Bache Securities INC.Broker
July 1987 - September 1988 · 1 yr 2 mos
State Registrations6 states
CTFLNCNYSCUT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.