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KEVIN FRAWLEY O'CONNOR
KEVIN FRAWLEY OCONNOR
CRD#: 2577908
IA
B
CADARET GRANT & CO INCCRD#: 10641 8340 MAIN STREET
WILLIAMSVILLE, NY 14221
WILLIAMSVILLE, NY 14221
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6/25/2010
Customer Dispute
Settled
State Registrations
B
California 1/3/2005
B
Nevada 11/2/2012
B
Colorado 11/19/2015
B
New York 1/3/2005
B
Connecticut 1/3/2005
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New York 5/4/2021
B
Florida 1/18/2018
B
Pennsylvania 8/2/2018
B
Georgia 9/2/2009
B
South Carolina 5/5/2022
B
Illinois 8/2/2018
B
Texas 1/3/2005
B
Indiana 6/1/2010
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Texas 12/9/2024
B
Kansas 1/2/2024
SRO Registrations
B
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Registered with this firm since 5/4/2021
B
Registered with this firm since 1/3/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/26/1995 - 12/31/2004 | ELGIN, IL | |
B | 06/29/1995 - 10/03/1995 | FORT MILL, SC |
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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.
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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.