Carolyn T. 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.
Carolyn Therese Oconnell was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2001. Carolyn had worked at 5 firms and has passed the Series 66, 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
November 8, 2017 - July 26, 2018
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC
November 8, 2017 - May 17, 2018
J.W. COLE FINANCIAL, INC.
July 15, 2015 - November 18, 2015
EQUITABLE ADVISORS, LLC
July 15, 2015 - November 18, 2015
EQUITABLE ADVISORS, LLC
March 26, 2010 - July 18, 2013
NATIONAL PLANNING CORPORATION
February 12, 2003 - July 18, 2013
NATIONAL PLANNING CORPORATION
April 10, 2001 - February 11, 2003
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC
CRD#: 174670 / SEC#: 801-119516
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
CONSCIOUS CAPITAL WEALTH MANAGEMENT, LLC
CRD#: 174670 / SEC#: 801-119516
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 609 |
| AUM (Assets Under Management) | $ 121,942,760 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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