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JAMES PATRICK O'CONNELL
JAMES PATRICK OCONNELL, JIM OCONNELL
CRD#: 2259373
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1 NORTH WACKER DRIVE
32ND & 33RD
CHICAGO, IL 60606
Registration History
19952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1992 - 1993 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2009 (11 years)
Disclosure(s)
View By:
12/7/2006
Customer Dispute
Settled
5/2/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/4/2024

B
Massachusetts 10/14/2020

B
Arizona 10/21/2011

B
Michigan 1/16/2018

B
California 5/8/2009

B
Minnesota 10/13/2020

B
Colorado 5/8/2009

B
Nevada 10/28/2020

B
Connecticut 10/13/2020

B
New Jersey 1/24/2024

B
Delaware 10/19/2010

B
New Mexico 10/17/2016

B
Florida 5/19/2009

B
New York 10/13/2020

B
Georgia 10/21/2021

B
North Carolina 5/8/2009

B
Illinois 5/8/2009

B
Ohio 10/13/2020

IA
Illinois 5/8/2009

B
Pennsylvania 1/5/2024

B
Indiana 5/29/2009

B
South Carolina 10/13/2020

B
Iowa 10/16/2020

B
Tennessee 10/14/2020

B
Kansas 2/12/2019

IA
Texas 11/21/2009

B
Kentucky 10/14/2020

B
Texas 10/14/2020

B
Louisiana 10/13/2020

B
Virginia 10/13/2020

B
Maine 12/23/2015

B
Washington 10/15/2020

B
Maryland 5/8/2009

B
Wisconsin 9/26/2019

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Long Grove, IL
Registered with this firm since 5/8/2009

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1 NORTH WACKER DRIVE 32ND & 33RD, CHICAGO, IL 60606
Long Grove, IL
Registered with this firm since 5/8/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/23/1998 - 05/28/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OAKBROOK TERRACE, IL
B
07/31/1993 - 05/28/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) OAKBROOK TERRACE, IL
B
08/10/1992 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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
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.