Individual Firm
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ANDREW PETER O'CONNOR
Andrew PETER O'Connor, ANDREW PETER OCONNOR, ANDREW OCONNOR
CRD#: 2189035
IA
B
UPSIDE LAB ADVISORS INC.CRD#: 304862 HUNTINGTON, NY
0
Disclosures
27
Years of Experience
View By:
State Registrations
IA
New York 6/9/2021
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/06/2018 - 09/02/2020 | GARDEN CITY, NY | |
B | 03/06/2018 - 09/02/2020 | GARDEN CITY, NY | |
IA | 06/05/2017 - 03/09/2018 | SAINT LOUIS, MO | |
B | 12/06/2016 - 03/09/2018 | COMMACK, NY | |
B | 12/21/2015 - 09/20/2016 | JACKSONVILLE, FL | |
B | 01/02/2013 - 12/04/2015 | NEW YORK, NY | |
B | 05/11/2011 - 10/01/2015 | NEW CITY, NY | |
B | 10/23/2009 - 01/02/2013 | GARDEN CITY, NY | |
B | 05/13/2009 - 11/02/2009 | NEW YORK, NY | |
B | 03/27/2008 - 05/28/2009 | NEW YORK, NY | |
B | 11/28/2006 - 03/31/2008 | NEW YORK, NY | |
B | 06/16/2005 - 11/29/2006 | NEW YORK, NY | |
B | 02/27/2003 - 06/23/2005 | NEW YORK, NY | |
B | 08/09/2001 - 02/25/2003 | NEW YORK, NY | |
B | 10/21/1998 - 12/01/2000 | HOUSTON, TX | |
B | 03/09/1992 - 10/06/1994 | NEW YORK, NY |
JACKSONVILLE, FL
12/21/2015 - 09/20/2016
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.