Broker Check
William R. O'Connor

William R. O'Connor

Chief Compliance Officer

Mr. OConnor has been a resident of Illinois his entire life and has worked at FINRA for over 18 years as a Compliance Specialist/Principal Examiner and obtained significant experience reviewing and analyzing member firms compliance with securities rules including FINRA Rules, SEC Rules, and MSRB Rules.  Mr. OConnor has been a member of the Boy Scouts of America as a Den Leader, Assistant Cubmaster and Assistant Scoutmaster, and participated in a Guinness World Record, setting the initial world record for the Longest Pinewood Derby track (2010).  Mr. OConnor received his B.S degree in Finance from Western Illinois University.