Brian Patrick Oconnor

Current Employers

Bny Mellon Securities Corporation

240 Greenwich Street 9Th Floor East, New York, NY 10286-0001 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-04-01

OH RA
APPROVED

Since 2024-04-01

Branch Locations

Akron, OH • United States

240 Greenwich Street, New York, NY 10286 • 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
Putnam Investments-Putnam Retail Management	Boston	MA	10/1993	Present
Bny Mellon Securities Corporation	Akron	OH	03/2024	Present

10/1993 → Present

Putnam Investments-Putnam Retail Management

Boston, MA
03/2024 → Present

Bny Mellon Securities Corporation

Akron, OH

Previous Registrations

2008-03-27 → 2024-01-23

Putnam Investment Management, Llc

Boston, MA

Andover, MA

Boston, MA
2002-09-23 → 2008-03-19

Putnam Investment Management, Llc

Boston, MA

Carlsbad, CA

Boston, MA

Other Businesses

1. Finance Council Member at St Vincent De Paul Catholic Church (responsible for managing the needs of the church and school) located at 164 W Market St Akron OH 44303. Working for 2 hours per month since June 2022. No hours devoted to this outside business during securities trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-08-19
S63	Uniform Securities Agent State Law Examination	1995-10-31

S65 Uniform Investment Adviser Law Examination

2002-08-19
S63 Uniform Securities Agent State Law Examination

1995-10-31

View on SEC IAPD