Sean S. O'connor
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.
Sean Simon O'connor, CFP®, who also goes by Sean S Oconnor, Sean Simon Oconnor, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1994. Sean had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2013 - July 5, 2024
TD PRIVATE CLIENT WEALTH LLC
February 28, 2013 - July 5, 2024
TD PRIVATE CLIENT WEALTH LLC
October 31, 2008 - April 16, 2009
EQUITABLE ADVISORS, LLC
September 17, 2008 - April 16, 2009
EQUITABLE ADVISORS, LLC
October 1, 2000 - January 30, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 30, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 2, 1997 - September 29, 1998
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
June 28, 1995 - September 11, 1995
MSI FINANCIAL SERVICES, INC.
June 27, 1995 - September 11, 1995
METROPOLITAN LIFE INSURANCE COMPANY
April 28, 1994 - June 5, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 28, 1994 - June 5, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
