Paul F. Oconnell
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.
Paul Frederick Oconnell, who also goes by Ted Oconnell, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2016 - October 6, 2017
PATRICK CAPITAL MARKETS, LLC
February 15, 2008 - September 22, 2008
PRINCIPAL SECURITIES, INC.
March 7, 2005 - September 20, 2016
PRINCIPAL FUNDS DISTRIBUTOR, INC.
September 5, 2002 - November 5, 2004
JOHN HANCOCK DISTRIBUTORS LLC
September 4, 2002 - November 5, 2004
JOHN HANCOCK DISTRIBUTORS LLC
September 13, 2000 - January 30, 2002
AMERICAN CENTURY INVESTMENT SERVICES INC.
April 9, 1998 - May 29, 1998
DAVIS DISTRIBUTORS, LLC
June 6, 1996 - March 12, 1998
DWS DISTRIBUTORS, INC.
January 17, 1995 - April 15, 1996
WM FUND SERVICES, INC.
November 15, 1991 - September 7, 1994
BERKELEY INTERNATIONAL SECURITIES CORPORATION
November 8, 1990 - September 9, 1991
CRISPIN KOEHLER SECURITIES
February 22, 1990 - November 5, 1990
MILK ST. INVESTMENT CORP.
April 18, 1989 - November 24, 1989
MERRICO INVESTMENTS CORPORATION
March 20, 1987 - December 8, 1988
ANGELES SECURITIES CORPORATION
July 24, 1984 - January 14, 1985
GLOBAL ALTERNATIVE INVESTMENT SERVICES, 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
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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