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Detailed Report
JOHN MARTIN OCONNOR JR
JOHN M O'CONNOR JR, JOHN OCONNOR
CRD#: 6015027
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5094 AIRPORT PULLING RD N
NAPLES, FL 34105
Registration History
20122014201620182020202220242026IAWELLS FARGO ADVISORS (CRD# 19616)2021 - Present (3 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2018 - Present (7 years)BKEY INVESTMENT SERVICES LLC (CRD# 136300)2016 - 2017 (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2016 (3 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)
License(s)

State Registrations

B
Florida 6/16/2021
IA
New Jersey 8/11/2021
IA
Florida 8/11/2021
B
New York 4/11/2018

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
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
WELLS FARGO ADVISORS (CRD#:19616)
5094 AIRPORT PULLING RD N, NAPLES, FL 34105
Registered with this firm since 8/11/2021
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5094 AIRPORT PULLING RD N, NAPLES, FL 34105
Registered with this firm since 4/11/2018
Previous Registration(s)
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B
 10/20/2016 - 10/31/2017 KEY INVESTMENT SERVICES LLC (CRD#:136300) GOSHEN, NY
B
 10/01/2012 - 09/07/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) WARWICK, NY
B
 02/13/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) GREENWOOD LAKE, 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.