Sean P Oconnor

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-30

NY RA
APPROVED

Since 2021-06-30

Branch Locations

Syracuse, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Syracuse	NY	05/2018	01/2021
Principal Securities Inc	Syracuse	NY	05/2018	Present
Ephesus	Syracuse	NY	07/2017	05/2018
Time Warner	E Syracuse	NY	01/2013	06/2017

05/2018 → 01/2021

Principal Life Insurance Company

Syracuse, NY
05/2018 → Present

Principal Securities Inc

Syracuse, NY
07/2017 → 05/2018

Ephesus

Syracuse, NY
01/2013 → 06/2017

Time Warner

E Syracuse, NY

Other Businesses

***Fixed Insurance; Investment Related; 3963 Griffin Rd, Syracuse, NY 13215; Agent; life, DI; Start Date: 09/05/2018; 2 hrs per month; 2 during trading hours. ***Fixed Insurance; Investment Related; Syracuse, NY; Agent; Annuities, Health, LTC, Medical Supplements, Medicare Ins.; Start Date: 12/21/2020; 20 hrs per month; 20 during trading hours.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2018-07-27

S63 Uniform Securities Agent State Law Examination

2018-07-27

Other Names

Sean Oconnor

View on SEC IAPD