Brian C. O'connell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Charles O'connell, who also goes by Brian Charles Oconnell, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1982. Brian had worked at 9 firms and has passed the Series 65, SIE, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2012 - October 25, 2017
CROWN CAPITAL SECURITIES, L.P.
July 19, 2012 - October 25, 2017
CROWN CAPITAL SECURITIES, L.P.
January 19, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
November 11, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
April 30, 1993 - June 8, 2007
FSC SECURITIES CORPORATION
April 16, 1991 - May 10, 1993
VISION INVESTMENT GROUP, INC.
April 6, 1989 - May 25, 1989
LINCOLN INVESTMENT
October 8, 1985 - June 20, 1986
O. R. SECURITIES, INC.
March 3, 1985 - June 10, 1991
HDA SERVICE CORPORATION
June 13, 1984 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
December 21, 1982 - April 30, 1984
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/13/1983
Foreign Currency Options ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
