Daniel T. Oconner

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CRD#: 3001502

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.

Daniel Thomas Oconner, who also goes by Daniel O'conner, Daniel T Oconner, Daniel Thomas Oconnor, Daniel T Oâ??conner, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel O'conner | Daniel T Oconner | Daniel Thomas Oconnor | Daniel T Oâ??conner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

WIREGRASS FINANCIAL POSITION: Financial Advisor NATURE: DBA for marketing Name for Advisor Team at Prudential Advisors. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 04/03/2023 ADDRESS: 28951 State Road 54, Wesley Chapel FL 33543, United States DESCRIPTION: Our team at Prudential is using the DBA for branding and marketing purposes only. There are no duties outside of normal business under Purdential Advisors. POOL CLEANING SERVICE POSITION: co-owner NATURE: Pool cleaning service INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2024 ADDRESS: 2618 Rosehaven, Wesley Chapel FL 33544, United States DESCRIPTION: My wife is opening a pool service and I will be co-owner and invest with her.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 20, 2024 - August 14, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

TAMPA, FL

Past

November 14, 2024 - August 14, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

TAMPA, FL

Past

January 13, 2021 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Wesley Chapel, FL

Past

January 12, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Wesley Chapel, FL

Past

September 12, 2016 - March 18, 2020

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

LAKELAND, FL

Past

June 14, 2016 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

LAKELAND, FL

Past

June 13, 2016 - March 18, 2020

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

LAKELAND, FL

Past

May 8, 2013 - June 15, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PORT RICHEY, FL

Past

May 8, 2013 - June 15, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PORT RICHEY, FL

Past

November 9, 2011 - May 3, 2013

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

WESLEY CHAPEL, FL

Past

November 2, 2011 - May 3, 2013

FIFTH THIRD SECURITIES, INC.

CRD#: 628

WESLEY CHAPEL, FL

Past

November 12, 2010 - May 27, 2011

PETERSEN INVESTMENTS, INC.

RIA

CRD#: 38537

SPRINGFIELD, IL

Past

September 13, 2010 - May 27, 2011

PETERSEN INVESTMENTS, INC.

CRD#: 38537

SPRINGFIELD, IL

Past

February 11, 2008 - September 3, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SPRINGFIELD, IL

Past

February 11, 2008 - September 3, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

SPRINGFIELD, IL

Past

March 18, 2002 - January 31, 2008

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

Past

July 28, 1999 - December 31, 2000

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 25, 1998 - June 24, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 25, 1998 - June 24, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/24/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/2008

General Securities Principal Examination

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Daniel T. Oconner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

PETERSEN INVESTMENTS, INC.

PETERSEN INVESTMENTS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

HORACE MANN INVESTORS, INC.

MML INVESTORS SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2008

Series 63

Date: 3/27/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1998

Series 24

Date: 8/27/2008

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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