Frank B. 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.
Frank Bernard Oconnell was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2004 - July 1, 2004
SAXONY SECURITIES, INC.
February 8, 2000 - August 28, 2003
INDUSTRY SAVINGS PLANS, INC.
July 22, 1998 - October 27, 1999
NORTH RIDGE SECURITIES CORP.
April 4, 1997 - April 29, 1998
HORNOR, TOWNSEND & KENT, LLC
June 15, 1987 - May 25, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 9, 1985 - August 27, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 9, 1985 - August 27, 1996
EQUITABLE ADVISORS, LLC
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
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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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