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Detailed Report
BENJAMIN DOLAN O'CONNOR
Ben Dolan O'Connor, Ben O'Connor, BENJAMIN D OCONNOR, BENJAMIN DOLAN OCONNOR
CRD#: 6051973
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Investment Adviser
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Previous Broker
F L PUTNAM INVESTMENT MANAGEMENT CO.CRD#: 106223 5 WIDGERY WHARF
PORTLAND, ME 04074
Registration History
201220142016201820202022202420262 FIRMS2014 - 2016 (2 years)2 FIRMS2016 - 2017 (1 year)IAF L PUTNAM INVESTMENT MANAGEME... (CRD# 106223)2022 - Present (2 years)BUBS SECURITIES LLC (CRD# 7654)2020 - 2022 (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - 2022 (4 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2013 - 2014 (1 year)BHFP CAPITAL MARKETS LLC (CRD# 44351)2012 - 2013 (<1 year)
License(s)

State Registrations

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Maine 4/26/2022
Current Registration(s)
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F L PUTNAM INVESTMENT MANAGEMENT CO. (CRD#:106223)
5 WIDGERY WHARF, PORTLAND, ME 04074
Registered with this firm since 4/26/2022
Previous Registration(s)
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 10/09/2020 - 04/04/2022 UBS SECURITIES LLC (CRD#:7654) BOSTON, MA
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 11/08/2017 - 04/04/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
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 08/22/2016 - 11/09/2017 JEFFERIES INVESTMENT ADVISERS, LLC (CRD#:121767) Boston, MA
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 07/08/2016 - 11/09/2017 JEFFERIES LLC (CRD#:2347) BOSTON, MA
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 06/05/2014 - 08/01/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) BOSTON, MA
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 06/04/2014 - 08/01/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) BOSTON, MA
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 06/24/2013 - 06/05/2014 BARCLAYS CAPITAL INC. (CRD#:19714) NEW YORK, NY
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 09/17/2012 - 05/07/2013 HFP CAPITAL MARKETS LLC (CRD#:44351)
FINRA expelled the firm on 06/25/2014
NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.