DO
Daniel J. Oconnell
PRINCIPAL SECURITIES
Addison, TX 75001
Some features on this profile are disabled
CRD#: 4325317
DO
Professional summary
Daniel Joseph Oconnell, who also goes by Daniel Joseph O'connell, Daniel Joseph Oconnell Sr., is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Addison, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Joseph O'connell | Daniel Joseph Oconnell Sr.
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.
**Fixed Insurance; Annuities, LTC, Life, Dental, Health, DI, Group, Employee Benefits 01/26/16. **Speaker; Not Investment Related; 6231 Joyce Way, Dallas, TX 75225; Speaker; Speak at industry events on leadership and team building, being an entrepreneur, and personal stories. No financial advice.; Start Date: 01/01/2018; 1 hrs per month; 1 during trading hours. **Texas CASA; Not Investment Related; Austin, TX; Board Member; Start Date: 12/01/2018; 1 hrs per month; 1 during trading hours. **Next Level Insurance Agency LLC; Not Investment Related; Addison, TX; Owner; 100% ownership in OBA/DBA; Start Date: 04/01/2016; 160 hrs per month; 160 during trading hours. **SCOUT TROOP 70 POSITION: Assistant Scout Master NATURE: Assistant Scout Master (Volunteer) INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 08/25/2025 ADDRESS: 3505 Amherst Ave, Dallas TX 75225, United States DESCRIPTION: I will be an adult leader in the troop, merit badge counselor, helping young people on their scouting adventure. **MDRT FOUNDATION POSITION: Trustee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2025 ADDRESS: 5080 SPECTRUM DR, SUITE 1200E, Addison TX 75001, United States DESCRIPTION: This is the MDRT Foundation, I will be overseeing committees for the next 3 years. We raise money from membership for which members can apply for grants.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Oconnell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph 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®
NoneExperience
Current
February 29, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5080 Spectrum Dr Ste 1200e, Addison, TX 75001RIA
BD
CRD#: 1137
Addison, TX
Current
January 15, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5080 Spectrum Dr Ste 1200e, Addison, TX 75001RIA
BD
CRD#: 1137
Addison, TX
Past
January 2, 2015 - December 31, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DALLAS, TX
Past
January 2, 2015 - December 31, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DALLAS, TX
Past
December 15, 2009 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
DALLAS, TX
Past
December 9, 2009 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
DALLAS, TX
Past
May 27, 2008 - December 31, 2009
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
DALLAS, TX
Past
May 23, 2008 - December 31, 2009
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
DALLAS, TX
Past
June 20, 2006 - July 12, 2006
TD AMERITRADE, INC.
RIA
CRD#: 7870
FORT WORTH, TX
Past
June 20, 2006 - July 12, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FT WORTH, TX
Past
June 8, 2006 - July 12, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
FORT WORTH, TX
Past
April 20, 2004 - June 15, 2004
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
March 11, 2002 - October 29, 2002
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
February 26, 2001 - October 31, 2002
E*TRADE ADVISORY SERVICES, INC.
RIA
CRD#: 111178
LEWISVILLE , TX
Past
January 8, 2001 - December 7, 2001
MUTUALS.COM, INC.
BD
CRD#: 36525
DALLAS, TX
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
California(2/10/2022)
RR
North Carolina(1/9/2017)
RR
Texas(1/15/2016)
IAR
Texas(2/29/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
