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AO

Adrian W. Oconnell

SANTANDER US CAPITAL MARKETS LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6387831
AO

Professional summary

Adrian William Oconnell, who also goes by Adrian William O'connell, Adrian O'connell, is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in New York, New York.

Adrian is registered as a RR (Registered Representative) and started their career in finance in 2015. Adrian has worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Adrian William O'connell | Adrian O'connell

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) - BD

Click below to view Adrian William 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

September 14, 2023 - Present

SANTANDER US CAPITAL MARKETS LLC

Office #1: 437 Madison Avenue 6th Floor, New York, NY 10022
BD
CRD#: 150696
New York, NY
Past

August 4, 2022 - October 2, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 28, 2015 - May 5, 2016

CIRRUS RESEARCH, LLC

BD
CRD#: 143800
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(9/14/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/20/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/4/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 8/14/2015
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/4/2015
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 1/28/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SU
SANTANDER US CAPITAL MARKETS LLC
AMHERST PIERPONT | SANTANDER US CAPITAL MARKETS LLC | SANTANDER INVESTMENT SECURITIES | PIERPONT SECURITIES LLC | PIERPONT SECURITIES INC. | PIERPONT SECURITIES | AMHERST SECURITIES | AMHERST PIERPONT SECURITIES LLC

CRD#: 150696 / SEC#: , 8-68282

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
437 Madison Avenue 6th - 8th Floor, New York, NY 10022
Mailing Address
437 Madison Avenue 6th Floor, New York, NY 10022
Phone number
(212) 872-0100
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SANTANDER CAPITAL HOLDINGS LLCSOLE MEMBER
LANE, JASON DEARMONDCHIEF COMPLIANCE OFFICER2671708
PACHECO, MERCEDES MARIACHIEF LEGAL OFFICER2909083
PRIETO-MORENO, GERARDOPRINCIPAL OPERATIONS OFFICER7295411
SANTANGELO, MICHAEL JOHNCFO4705334
VITALE, PAUL NFINOP, PRINCIPAL FINANCIAL OFFICER5909566
WALSH, JOSEPH NORTON IIICEO2804671

Disclosures

Regulatory Event5

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

SANTANDER US CAPITAL MARKETS LLC

CRD#: 150696New York, NY 10022

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