William J. Oconnell
Professional summary
William J Oconnell is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 2004. William has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William J Oconnell's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2012 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087September 22, 2009 - June 21, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
November 4, 2004 - September 24, 2008
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/21/2012)
Exams
What does exam status mean?
FINRA
Current Firm
HARTFORD FUNDS DISTRIBUTORS, LLC
CRD#: 45995 / SEC#: 801-53584, 8-51290
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| COGHAN, JEFFREY THOMAS | HEAD OF MARKETING, SR. VICE PRESIDENT | 2889255 |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT, ASSISTANT TREASURER | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, MANAGER, SR. MANAGING DIRECTOR, SR. VICE PRESIDENT | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, MANAGER | 4835814 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | EXECUTIVE VICE PRESIDENT | 3152206 |
| OVERHOLT, ERNIE CLARK | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2335499 |
| PHILLIPS, THOMAS RAYMOND | CHIEF LEGAL OFFICER, SECRETARY, SR. VICE PRESIDENT | 6431521 |
| SCHOLZ, NANCY DAVIS | AML OFFICER, VICE PRESIDENT | 4474180 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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