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Thomas F. Oconnell

THOMAS FRANCIS O'CONNELL
Reno, NV
Some features on this profile are disabled
CRD#: 3218980
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Professional summary

Thomas Francis Oconnell, who also goes by Tom Oconnell, is a registered financial advisor currently at THOMAS FRANCIS O'CONNELL located in Reno, Nevada.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 2 firms and has passed the Series 63, Series 65, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tom Oconnell

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 Thomas Francis Oconnell's 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®
None

Experience

Current

June 20, 2018 - Present

THOMAS FRANCIS O'CONNELL

RIA
CRD#: 292181
Reno, NV
Past

July 29, 1999 - September 15, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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.

Highlighted states indicate IAR registrations

IAR
California
(6/20/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/21/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/16/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 31
Date: 7/9/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/1999
General Securities Representative Examination

Current Firm

TF
THOMAS FRANCIS O'CONNELL
O'CONNELL, THOMAS | TOC FINANCIAL | THOMAS FRANCIS O'CONNELL | O'CONNELL, THOMAS, FRANCIS

CRD#: 292181 / SEC#:

California
Registered Investment Advisory firm - (6/18/2018 Approved)
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Contact information

Main Address
Reno, NV
Mailing Address
Phone number
(408) 762-9762
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

THOMAS FRANCIS O'CONNELL

CRD#: 292181Reno, NV

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