Stephen M. O'connell
Professional summary
Stephen Michael O'connell, who also goes by Stephen Michael O'connell, Stephen M Oconnell, Stephen Michael Oconnell, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 53, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael O'connell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2015 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917February 15, 2001 - April 13, 2010
NATIONAL FINANCIAL SERVICES LLC
March 17, 2000 - February 15, 2001
FIDELITY BROKERAGE SERVICES LLC
October 10, 1996 - January 6, 2000
SCUDDER FINANCIAL SERVICES, INC.
August 23, 1996 - September 13, 1996
BANKBOSTON INVESTOR SERVICES, INC.
July 17, 1995 - August 20, 1996
BAYBANKS BROKERAGE SERVICES, INC.
August 14, 1992 - June 23, 1995
PERSHING 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
Series 8
Date: 12/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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