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James K O'Connor Jr
JAMES KEVIN O'CONNOR JR, JAMES KEVIN OCONNOR JR, JIM OCONNOR
CRD#: 3231049
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 925 Westchester Ave
West Harrison, NY 10604
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (12 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2002 - 2012 (9 years)BQUICK & REILLY, INC. (CRD# 11217)2002 - 2002 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2001 - 2002 (1 year)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)2000 - 2000 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2000 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2012 (7 years)
Disclosure(s)
View By:
8/8/2007
Customer Dispute
Denied
9/15/1996
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 12/13/2021

IA
New Jersey 10/1/2012

B
Arizona 10/22/2018

B
New York 10/1/2012

B
California 10/1/2012

IA
New York 5/3/2021

B
Colorado 3/6/2013

B
North Carolina 10/1/2012

B
Connecticut 10/1/2012

B
Ohio 2/11/2025

B
Delaware 3/13/2018

B
Oregon 10/9/2020

B
Florida 10/1/2012

B
Pennsylvania 9/2/2016

B
Georgia 5/24/2016

B
Rhode Island 12/10/2012

B
Illinois 10/1/2012

B
South Carolina 10/1/2012

B
Maryland 8/6/2018

B
Tennessee 4/12/2017

B
Massachusetts 10/1/2012

IA
Texas 10/30/2013

B
Michigan 10/1/2012

B
Texas 11/21/2013

B
Missouri 3/7/2016

B
Vermont 7/27/2021

B
Nevada 9/11/2023

B
Virginia 10/18/2012

B
New Hampshire 10/1/2012

B
Washington 7/30/2015

B
New Jersey 10/1/2012

B
Wyoming 6/15/2018

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
925 Westchester Ave, West Harrison, NY 10604
Registered with this firm since 10/1/2012

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
925 Westchester Ave, West Harrison, NY 10604
Registered with this firm since 10/1/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/26/2005 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SOMERS, NY
B
11/04/2002 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SOMERS, NY
B
10/09/2002 - 11/15/2002 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
02/05/2001 - 10/08/2002 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
04/27/2000 - 11/22/2000 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) SYOSSET, NY
B
06/07/1999 - 03/02/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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Broker
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Investment Adviser
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.