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Catherine Jean Oconnor

LPl Enterprise, LLC

Franklin, TN

Nashville, TN

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-11-14
  • TN RA
    APPROVED
    Since 2024-11-14

Branch Locations

117 Seaboard Lane Ste E204, Franklin, TN 37067 • United States

Nashville, TN • 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
Prudential Insurance Company Of America Nashville TN 05/1991 Present
Pruco Securities, Llc. Nashville TN 05/1991 11/2024
Lpl Enterprise, Llc Franklin TN 11/2024 Present
Previous Registrations
  • 2011-04-06 → 2024-11-14
    Pruco Securities, Llc.
    Brentwood, TN
    Knoxville, TN
    Franklin, TN
    Nashville, TN
    Atlanta, GA
    Nashville, TN
    Franklin, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-28
S63 Uniform Securities Agent State Law Examination 1983-11-08
  • S65 Uniform Investment Adviser Law Examination
    2011-03-28
  • S63 Uniform Securities Agent State Law Examination
    1983-11-08

View on SEC IAPD

Other Firms

SAGESPRING WEALTH PARTNERS
D.A. DAVIDSON & CO.
LPL FINANCIAL LLC
EQUITABLE ADVISORS, LLC
ONEDIGITAL
EDWARD JONES
EFINANCIAL ALLIANCE, LLC
ARKADIOS WEALTH ADVISORS

Other Investors

Jeffrey Thomas Dobyns
BOB CLAY SIRCY
LAURIE L SNIVELY
Dorothi Leigh Brown
Jessica Rose Colston
CASH TUNSTALL
JEFFERY BRADFORD BOWLIN
JACOB CARL POWELL

Other Offices

SAGESPRING WEALTH PARTNERS · Franklin, TN
D.A. DAVIDSON & CO. · FRANKLIN, TN
LPL FINANCIAL LLC · FRANKLIN, TN
EQUITABLE ADVISORS, LLC · FRANKLIN, TN
ONEDIGITAL · Franklin, TN
ONEDIGITAL · FRANKLIN, TN
EDWARD JONES · FRANKLIN, TN
EFINANCIAL ALLIANCE, LLC · FRANKLIN, TN

More in Franklin, TN

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