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Patrick Gabriel Oconnell

Principal Securities, Inc.

Melville, NY

CRD 1173351

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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

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-30
  • NY RA
    APPROVED
    Since 2021-06-30

Branch Locations

48 S Service Rd Ste 402, Melville, NY 11747 • 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
OrganizationCityStateFromTo
Advanced Marketing Corp Amityville NY 11/1999 Present
Princor Financial Services Corporation Melville NY 06/2010 Present
Principal Life Insurance Co Melville NY 06/2010 12/2016
  • 11/1999 → Present
    Advanced Marketing Corp
    Amityville, NY
  • 06/2010 → Present
    Princor Financial Services Corporation
    Melville, NY
  • 06/2010 → 12/2016
    Principal Life Insurance Co
    Melville, NY
Other Businesses

***Outside Insurance, Fixed life, fixed annuities, LTC, DI, P&C, 05/05/17.

View on SEC IAPD

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