This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

UBS FINANCIAL SERVICES INC.

Current firm class

wirehousederived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 6, 1980earliest registration or exam on IAPD

Years in industry

46derivedfrom the industry start date

Years at current firm

16derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S66

First exam

Aug 6, 1980

First registration

Mar 14, 2008

Dual registered

yes, broker-dealer

Other names

JOHN JOSEPH OCONNOR

IAPD individual key

866829

Graph

RIA / Wealth Management

Canonical id

dfx:ria:37cdeb30-b44b-bff0-83e9-20357e3852fa

First observed

Mar 14, 2008

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.