Thomas J. 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, Series 24, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph O'connell's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2016 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
October 16, 2015 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601Office #2: 303 E Wacker Drive 5th Fl, Chicago, IL 60601Office #3: 1600 West Gate Circle Suite 250, Brentwood, TN 37027May 2, 2007 - March 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2007 - March 15, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 2, 2006 - May 2, 2007
PRUCO SECURITIES, LLC.
June 27, 2005 - October 26, 2005
BLC FINANCIAL SERVICES, INC.
June 12, 2002 - November 25, 2003
AFS BROKERAGE, INC.
April 28, 1999 - July 19, 2000
CONSECO EQUITY SALES, INC.
January 12, 1999 - February 3, 1999
CONSECO EQUITY SALES, INC.
August 5, 1998 - January 12, 1999
CONSECO SECURITIES, INC.
April 14, 1997 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
November 13, 1993 - April 14, 1997
CONSECO EQUITY SALES, INC.
June 26, 1991 - December 18, 1991
CITIGROUP GLOBAL MARKETS INC.
January 18, 1990 - July 31, 1991
FORTH FINANCIAL SECURITIES, CORPORATION
February 18, 1988 - July 12, 1989
G. R. PHELPS & CO., INC.
November 14, 1987 - January 20, 1988
ROBERT W. BAIRD & CO. INCORPORATED
November 27, 1984 - September 24, 1985
NEW ENGLAND SECURITIES
January 24, 1983 - January 19, 1988
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 25, 1980 - October 5, 1982
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 8
Date: 4/8/1988
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
