Patricia Marie Oconnor

CRD 1462691 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boca Raton, FL

IA RegisteredBroker

Also appears in the source record as: Patricia Britz; Patricia Marie O'connor; Patti Oconnor

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 9Series 10Series 8SIESeries 3Series 7
Registered states (37): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Montana · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boca Raton, FL · IA capacity

Mar 23, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boca Raton, FL · BC capacity

start not retrieved → present
Deutsche Bank Securities Inc.
IA capacity

Apr 9, 2012 → Apr 8, 2015
Deutsche Bank Securities Inc.
BD capacity

Mar 28, 2012 → Apr 8, 2015
Morgan Keegan & Company, Inc.
IA capacity

Nov 16, 2011 → Mar 19, 2012
Morgan Keegan & Company, Inc.
BD capacity

Nov 15, 2011 → Mar 19, 2012
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Oct 19, 2011
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Oct 19, 2011
Citigroup Global Markets Inc.
IA capacity

Dec 6, 2004 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Jul 31, 1993 → Jun 1, 2009
Lehman Brothers Inc.
BD capacity

Apr 15, 1992 → Jul 31, 1993

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1462691 ↗ FINRA BrokerCheck record for CRD 1462691 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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