Daniel W. Oconnor
Professional summary
Daniel William Oconnor III, who also goes by Daniel William O'connor III, Daniel William Oconnor III, Daniel William Oconnor, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Boston, Massachusetts.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel William Oconnor III's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2025 - Present
PNC CAPITAL MARKETS LLC
Office #1: 2 International Place 29th Floor, Boston, MA 02110April 20, 2021 - April 1, 2025
PALMETTO ADVISORY GROUP, LLC
June 30, 2016 - May 1, 2019
MORGAN STANLEY DISTRIBUTION, INC.
January 18, 2008 - May 2, 2016
BLACKROCK INVESTMENTS, LLC
February 17, 2005 - December 3, 2007
MFS FUND DISTRIBUTORS, INC.
May 21, 2001 - February 3, 2005
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
June 10, 1993 - October 12, 1999
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
August 26, 1992 - May 24, 1993
METROPOLITAN LIFE INSURANCE COMPANY
August 26, 1992 - May 24, 1993
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/13/2025)
Exams
FINRA
Current Firm
PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PULLINS, MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER | 4366952 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647Boston, MA 02110TRUST BUT VERIFY
Monitor Daniel Oconnor
Get automatic monthly alerts on:
