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Detailed Report
CHRISTOPHER MARK OCONNOR
CRD#: 2392054
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 3 HARDING ROAD
RED BANK, NJ 07701
Registration History
19952000200520102015202020252 FIRMS2006 - 2006 (<1 year)2 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - Present (12 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2001 - 2006 (5 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 2001 (7 years)IALEGG MASON WOOD WALKER INC (CRD# 6555)2002 - 2006 (3 years)
License(s)

State Registrations

B
Arkansas 6/5/2019
B
Missouri 4/4/2024
B
California 7/13/2012
B
New Jersey 7/13/2012
B
Colorado 7/13/2012
IA
New Jersey 7/13/2012
B
Delaware 1/22/2014
B
New York 7/13/2012
B
Florida 7/13/2012
B
North Carolina 7/18/2012
B
Illinois 7/5/2018
B
Pennsylvania 7/13/2012
B
Kentucky 11/15/2024
B
Rhode Island 11/21/2024
B
Maine 2/25/2019
B
South Carolina 7/13/2012
B
Maryland 6/28/2021
B
Texas 7/13/2012
B
Massachusetts 7/5/2018
B
Virginia 7/13/2012

SRO Registrations

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
OPPENHEIMER & CO. INC. (CRD#:249)
3 HARDING ROAD, RED BANK, NJ 07701
Registered with this firm since 7/13/2012
B
OPPENHEIMER & CO. INC. (CRD#:249)
3 HARDING ROAD, RED BANK, NJ 07701
Registered with this firm since 7/13/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 07/17/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) RED BANK, NJ
B
 06/01/2009 - 07/17/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) RED BANK, NJ
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RED BANK, NJ
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) RED BANK, NJ
IA
 06/23/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) RED BANK, NJ
B
 06/23/2006 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) RED BANK, NJ
IA
 02/21/2006 - 07/13/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHREWSBURY, NJ
B
 02/21/2006 - 07/13/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SHREWSBURY, NJ
IA
 05/02/2002 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) SHREWBURY, NJ
B
 01/11/2001 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 10/08/1993 - 01/22/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.