Francis O'connor is a registered investment advisor, based in Weehawken, NJ, with 35 years of industry experience.
Location
1200 Harbor Boulevard, Weehawken, NJ, 07086
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
UBS Securities LLCBroker
August 2023 - Present · 2 yrs 11 mos
UBS Securities LLC
August 2023 - Present · 2 yrs 11 mos
UBS Financial Services INC.
April 2011 - Present · 15 yrs 3 mos
UBS Financial Services INC.Broker
February 2011 - Present · 15 yrs 5 mos
UBS Financial Services INC.
February 2011 - Present · 15 yrs 5 mos
Previous Registrations
UBS Securities LLCBroker
November 2012 - March 2020 · 7 yrs 4 mos
Knight Capital Americas, L.P.Broker
March 2009 - February 2011 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2004 - March 2009 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1991 - March 2009 · 18 yrs
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.