David M. O Connell
Professional summary
David Matthew O Connell, who also goes by Dave M O'connell, David Matthew O'connell, David M Oconnell, David Matthew Oconnell, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. David has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Matthew O Connell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Matthew O Connell's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2013 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007May 4, 2010 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007June 30, 2010 - August 9, 2011
HORNOR, TOWNSEND & KENT, LLC
December 17, 2009 - May 5, 2010
LPL FINANCIAL LLC
December 10, 2009 - May 5, 2010
LPL FINANCIAL LLC
May 14, 2009 - December 11, 2009
HSBC SECURITIES (USA) INC.
May 8, 2009 - December 11, 2009
HSBC SECURITIES (USA) INC.
February 7, 2007 - May 5, 2009
LPL FINANCIAL LLC
February 2, 2007 - May 5, 2009
LPL FINANCIAL LLC
December 21, 2005 - February 9, 2007
IFMG SECURITIES, INC.
December 21, 2005 - February 9, 2007
IFMG SECURITIES, INC.
May 10, 2004 - December 15, 2005
TD WEALTH MANAGEMENT SERVICES INC.
May 5, 2004 - December 15, 2005
TD WEALTH MANAGEMENT SERVICES INC.
March 6, 2002 - May 12, 2004
CITICORP INVESTMENT SERVICES
April 20, 2001 - March 15, 2002
BNY MELLON SECURITIES CORPORATION
January 31, 2000 - April 19, 2001
CITICORP INVESTMENT SERVICES
March 26, 1998 - February 4, 2000
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 5, 1995 - June 5, 1997
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
February 25, 1992 - January 25, 1995
BNY MELLON SECURITIES CORPORATION
November 1, 1991 - December 11, 1991
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/17/2013)
(6/29/2010)
(7/14/2022)
(9/10/2025)
(3/12/2025)
(1/15/2016)
(5/4/2010)
(3/19/2021)
(6/20/2016)
(6/10/2021)
(6/20/2024)
Exams
FINRA
Current Firm
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
