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Kenneth E. O'connor

ONEAMERICA SECURITIES
Revere, MA
Some features on this profile are disabled
CRD#: 3087574
KO

Professional summary

Kenneth E O'connor, CFP®, who also goes by Kenneth Edward O'connor, Kenneth O'connor, Kenneth E Oconnor, Kenneth Edward Oconnor, Kenneth Oconnor, is a registered financial advisor currently at ONEAMERICA SECURITIES, INC. located in Revere, Massachusetts.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Kenneth has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kenneth Edward O'connor | Kenneth O'connor | Kenneth E Oconnor | Kenneth Edward Oconnor | Kenneth Oconnor

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth E O'connor's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kenneth E O'connor's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

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

Certified Financial Planner

Experience

Current

April 2, 2026 - Present

ONEAMERICA SECURITIES, INC.

RIA
BD
CRD#: 4173
Revere, MA
Current

March 26, 2026 - Present

ONEAMERICA SECURITIES, INC.

Office #1: One American Square, Indianapolis, IN 46282
RIA
BD
CRD#: 4173
INDIANAPOLIS, IN
Past

November 14, 2024 - April 2, 2026

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
WAKEFIELD, MA
Past

November 14, 2024 - April 2, 2026

LPL ENTERPRISE, LLC

BD
CRD#: 8733
WAKEFIELD, MA
Past

August 27, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
WAKEFIELD, MA
Past

June 24, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
WAKEFIELD, MA
Past

January 20, 2022 - April 25, 2024

FACET

RIA
CRD#: 285961
Revere, MA
Past

August 21, 2019 - December 22, 2021

KELLY FINANCIAL SERVICES LLC

RIA
CRD#: 291996
BRAINTREE, MA
Past

October 31, 2017 - June 26, 2018

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
WOBURN, MA
Past

October 31, 2017 - June 26, 2018

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
WOBURN, MA
Past

January 30, 2017 - June 2, 2017

EDWARD JONES

RIA
CRD#: 250
AMESBURY, MA
Past

September 14, 2016 - June 2, 2017

EDWARD JONES

BD
CRD#: 250
AMESBURY, MA

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".
ONEAMERICA SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

CRD#: 4173 / SEC#: 801-56819, 8-15009

RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(3/27/2026)
IAR
Massachusetts
(4/2/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/1/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ONEAMERICA SECURITIES, INC.
ONEAMERICA SECURITIES, INC.
AUL EQUITY SALES CORP. | ONEAMERICA SECURITIES, INC.

CRD#: 4173 / SEC#: 801-56819, 8-15009

RIA
Registered Investment Advisory firm - SEC (9/13/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
One American Square, Indianapolis, IN 46282
Mailing Address
One American Square P.o. Box 1984, Indianapolis, IN 46206-1984
Phone number
(317) 285-1877
Established
Indiana since 06/04/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
326

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ONEAMERICA SECURITIES FORM ADV PART 2A APPENDIX 1 (3/31/2025)
ONEAMERICA SECURITIES FORM ADV PART 2A (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
AMERICAN UNITED LIFE INSURANCE COMPANYPARENT
BICKEL, KORY LLOYDCHIEF COMPLIANCE OFFICER5424722
CAYETANO, NICHOLAS ADAMAML OFFICER7237505
FLEETWOOD, MATTHEW THOMASCHAIRMAN OF THE BOARD/PRESIDENT/CEO/DIRECTOR4109266
HARTLEY, BRYAN KEITHFINOP5664171
HOYLE, JASON ANDREWDIRECTOR6027238
JUNKER, DAVID ADIRECTOR2442538
LIONBERGER, TAYLOR WSALES DEVELOPMENT DIRECTOR5931321
MCGOFF, SEAN PATRICKCHIEF COUNSEL & SECRETARY5801826
SANDELSKI, DENNIS JOSEPHAVP, TAX7244469
SMILEY, ERIC DAVIDVP, DIRECTOR OF OPERATIONS2978413
SNYDER, DANIEL RTREASURER7318687
WEYER, SHAUN CHRISTOPHERSALES DEVELOPMENT DIRECTOR4607359
YANG, CHUANMINGCHIEF INFORMATION SECURITY OFFICER7527042

Regulatory assets under management

Total Number of Accounts2,118
AUM (Assets Under Management)$ 299,940,768

Disclosures

Regulatory Event6

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

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CRD#: 4173Revere, MA

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