Delores O'connor

CRD 2195790 · Fidelity Brokerage Services LLC · Westlake, TX

IA RegisteredBroker

Also appears in the source record as: Dee Kaufmann; Delores Ann Kaufmann; Delores Kaufmann; Dee O'connor; Delores Ann O'connor; Delores Ann Oconnor

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63Series 24SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 35
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: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (15)

From the source registration record · current first

Strategic Advisers LLCCurrent
Saint Peters, MO · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Saint Peters, MO · BD capacity

Aug 15, 2022 → present
Fidelity Brokerage Services LLCCurrent
Westlake, TX · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Aug 30, 2022 → Mar 31, 2025
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Jul 16, 2021
Fidelity Brokerage Services LLC
BD capacity

Dec 19, 2012 → Jul 12, 2021
Strategic Advisers LLC
IA capacity

Jan 31, 2017 → Jul 13, 2018
Ubs Financial Services Inc.
IA capacity

May 8, 2012 → Dec 12, 2012
Ubs Financial Services Inc.
BD capacity

Jul 22, 2011 → Dec 12, 2012
Objective Equity, LLC
BD capacity

Sep 25, 2006 → Sep 1, 2011
Instream Partners LLC
BD capacity

May 5, 2006 → May 19, 2006
Rockhouse Securities LLC
BD capacity

Apr 16, 2002 → Apr 25, 2005
Westport Resources Investment Services, Inc.
BD capacity

Aug 22, 2001 → Apr 15, 2002
Bridge Trading Company
BD capacity

May 12, 1992 → May 9, 1995
First Affiliated Securities, Inc.
BD capacity

Dec 17, 1991 → Jan 30, 1992

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2195790 ↗ FINRA BrokerCheck record for CRD 2195790 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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