Thomas Oconnell
Professional summary
Thomas Oconnell, who also goes by Thomas O?connell, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Massapequa Park, New York and CNR SECURITIES, LLC located in New York, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Thomas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Oconnell's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2022 - Present
CITY NATIONAL ROCHDALE
Office #2: 400 Park Avenue, New York, NY 10022March 10, 2022 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2022)
(5/10/2022)
Exams
Series 7TO
Date: 3/10/2022
General Securities Representative ExaminationFINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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