Thomas Joseph O'connell
Professional Summary
Thomas Joseph O'connell, who also goes by Thomas Joseph Oconnell, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Bloomington, Illinois and BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Thomas has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Joseph Oconnell
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
46 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
Contact Information
Main Address
303 E. Wacker Drive Ste 500, Chicago, IL 60601Phone Number
(844) 553-9083# of Employees
433SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
18,608AUM (Assets Under Management)
$2,487,262,961Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.
State Registrations and Notice Filings
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2007About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2007About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1988SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph O'connell's CRS (Customer Relationship Summary).
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