Stephen O'connell
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.
Stephen O'connell, who also goes by Stephen Michael O'connell, Stephen M Oconnell, Stephen Michael Oconnell, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2015 - May 20, 2026
NATIONAL FINANCIAL SERVICES LLC
February 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)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 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
