Michael K. Oconnell
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.
Michael Kehoe Oconnell was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7 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
December 7, 2011 - March 28, 2018
BROCKETT TAMNY & CO. INCORPORATED
May 7, 2009 - September 24, 2010
SOUTH LAKE AVENUE SECURITIES CORPORATION
January 29, 2003 - May 7, 2009
ANGELES CAPITAL GROUP, LLC
January 6, 1999 - August 8, 2002
FINANCE 500, 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
Exams
Current Firm
BROCKETT TAMNY & CO. INCORPORATED
CRD#: 30778 / SEC#: , 8-45173
Contact information
Documents
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.
