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Keith Merritt Oconnell

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keith merritt o'connell
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Keith Merritt Oconnell, who also goes by Keith Merritt O'connell, was a registered financial professional.

Keith is a previously registered financial professional and started their career in finance in 2000. Keith had worked at 4 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.

As of 08 Apr 2021, Keith Oconnell is no longer a registered financial professional with FINRA or the SEC.

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Disclosures
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Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
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Advisor Information

ADVISOR PROFILE
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (0)
SRO REGISTRATIONS (0)
FAQS
WHAT DOES BEING PREVIOUSLY REGISTERED MEAN?
WHAT IF THIS PERSON APPROACHED ME ABOUT FINANCIAL PRODUCTS AND SERVICES?
CAN A PREVIOUSLY REGISTERED FINANCIAL ADVISOR SELL ME INSURANCES OR ANNUITIES?
COULD THIS FINANCIAL ADVISOR ACTUALLY BE REGISTERED AND THE INFORMATION IS NOT SHOWING CORRECTLY?
WHAT SHOULD I REVIEW IN REGARDS TO THIS PREVIOUSLY REGISTERED FINANCIAL ADVISOR REGARDLESS OF THEIR STATUS?

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYER
PREVIOUS EMPLOYERS (8)
RIA
WELLS FARGO CLEARING SERVICES, LLC (#19616)
1/1/2008 - 4/8/2021
St. Louis, MO
BD
WELLS FARGO CLEARING SERVICES, LLC (#19616)
1/1/2008 - 4/8/2021
St. Louis, MO
RIA
A. G. EDWARDS & SONS, INC. (#4)
1/9/2007 - 1/1/2008
St. Louis, MO
RIA
A. G. EDWARDS & SONS, INC. (#4)
9/14/2005 - 12/31/2006
St. Louis, MO
BD
A. G. EDWARDS & SONS, INC. (#4)
1/22/2004 - 1/3/2008
St. Louis, MO
RIA
U.S. BANCORP INVESTMENTS, INC. (#17868)
7/1/2003 - 1/27/2004
Saint Louis, MO
BD
U.S. BANCORP INVESTMENTS, INC. (#17868)
3/8/2002 - 1/27/2004
Saint Paul, MN
BD
MORGAN STANLEY DW INC. (#7556)
8/23/2000 - 12/7/2001
Purchase, NY
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Keith Merritt Oconnell

PR
PR
Experience: 23 years / 4 firms
CRD#: 4219825
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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As featured in Usnews
As featured in USA Today
Los Angeles Times logo
inc logo
As featured in Financial Planning
As featured in InvestmentNews
As featured in Financial Advisor Magazine
inc logo
Citywire logo
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PlanAdviser logo
Los Angeles Business Journal logo

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