DO
Daniel K. Oconnell
WELLS FARGO INVESTMENT INSTITUTE
Dallas, TX 75225
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CRD#: 1541372
DO
Professional summary
Daniel Kenny Oconnell, who also goes by Daniel Oconnell, is a registered financial advisor currently at WELLS FARGO INVESTMENT INSTITUTE, INC. located in Dallas, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Daniel has worked at 5 firms and has passed the Series 63, Series 7, Series 3 and Series 5 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Oconnell
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Kenny Oconnell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2022 - Present
WELLS FARGO INVESTMENT INSTITUTE, INC.
Office #1: 8115 Preston Rd # 300, Dallas, TX 75225RIA
CRD#: 133204
Dallas, TX
Past
October 7, 2005 - March 6, 2008
UST SECURITIES CORP.
BD
CRD#: 13906
STAMFORD, CT
Past
July 17, 1989 - May 19, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
July 14, 1989 - May 19, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 26, 1988 - July 5, 1989
CM&M FUTURES INC.
BD
CRD#: 15845
Past
July 25, 1987 - July 5, 1989
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WELLS FARGO INVESTMENT INSTITUTE, INC.
A.G. EDWARDS CAPITAL, INC. (RELYING ADVISER) | WELLS FARGO INVESTMENT INSTITUTE, INC. | WACHOVIA ALTERNATIVE STRATEGIES, INC. | SOCIAL IMPACT INVESTING TEAM | OPTION STRATEGIES GROUP | GLOBAL SECURITIES RESEARCH | GLOBAL PORTFOLIO MANAGEMENT | GLOBAL MANAGER RESEARCH | GLOBAL INVESTMENT STRATEGY | GLOBAL ASSET ALLOCATION | GLOBAL ALTERNATIVE INVESTMENTS | FIXED INCOME STRATEGIES TEAM | EVERGREEN INVESTMENTS | EVERGREEN FPS, INC. | EVERGREEN ALTERNATIVE STRATEGIES, INC. | EQUITY OPTIMIZATION | ALTERNATIVE STRATEGIES GROUP, INC.
CRD#: 133204 / SEC#: 801-64191
RIA
Registered Investment Advisory firm - (5/13/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(1/6/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 8/14/1986
Interest Rate Options ExaminationCurrent Firm
WF
WELLS FARGO INVESTMENT INSTITUTE, INC.
A.G. EDWARDS CAPITAL, INC. (RELYING ADVISER) | WELLS FARGO INVESTMENT INSTITUTE, INC. | WACHOVIA ALTERNATIVE STRATEGIES, INC. | SOCIAL IMPACT INVESTING TEAM | OPTION STRATEGIES GROUP | GLOBAL SECURITIES RESEARCH | GLOBAL PORTFOLIO MANAGEMENT | GLOBAL MANAGER RESEARCH | GLOBAL INVESTMENT STRATEGY | GLOBAL ASSET ALLOCATION | GLOBAL ALTERNATIVE INVESTMENTS | FIXED INCOME STRATEGIES TEAM | EVERGREEN INVESTMENTS | EVERGREEN FPS, INC. | EVERGREEN ALTERNATIVE STRATEGIES, INC. | EQUITY OPTIMIZATION | ALTERNATIVE STRATEGIES GROUP, INC.
CRD#: 133204 / SEC#: 801-64191
RIA
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Contact information
Main Address
550 South Tryon Street 40th Floor, Charlotte, NC 28202
Mailing Address
Phone number
(314) 354-5814
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,594 |
| AUM (Assets Under Management) | $ 40,817,738,378 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/13/2023 | ||
| 02/17/2023 |
Red Flags
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Company Information
WELLS FARGO INVESTMENT INSTITUTE, INC.
CRD#: 133204Dallas, TX 75225TRUST BUT VERIFY
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