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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-02-13
NY RA APPROVED 2025-09-08
  • TX RA
    APPROVED
    Since 2026-02-13
  • NY RA
    APPROVED
    Since 2025-09-08

Branch Locations

69 State St, Albany, NY 12207 • United States

One Bryant Park, New York, NY 10036 • 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
Providence College Providence RI 08/2012 12/2017
Merrill Lynch Boston MA 05/2017 08/2017
Amundi Pioneer Distributor, Inc. Boston MA 02/2018 12/2020
Amundi Distributor Us, Inc. Boston MA 01/2021 04/2025
Victory Capital Services, Inc. Boston MA 04/2025 08/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 08/2025 Present
Bank Of America, N.A. Albany NY 09/2025 Present
  • 08/2012 → 12/2017
    Providence College
    Providence, RI
  • 05/2017 → 08/2017
    Merrill Lynch
    Boston, MA
  • 02/2018 → 12/2020
    Amundi Pioneer Distributor, Inc.
    Boston, MA
  • 01/2021 → 04/2025
    Amundi Distributor Us, Inc.
    Boston, MA
  • 04/2025 → 08/2025
    Victory Capital Services, Inc.
    Boston, MA
  • 08/2025 → Present
    Albany, NY
  • 09/2025 → Present
    Bank Of America, N.A.
    Albany, NY
Previous Registrations
  • 2025-08-06 → 2025-08-14
    Boston, MA
    San Antonio, TX
  • 2020-12-15 → 2025-04-25
    Amundi Asset Management Us, Inc.
    Boston, MA
  • 2019-03-13 → 2020-12-31
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
Other Businesses

I*3030266 Entity Type: Charitable Name of OBA:The Community Hospice Foundation Address:Albany New York Investment Related:No Position, Title, Association:Board Member Start Date:01/01/2026 No Hours: 4 Monthly No Hours during trading:0 Monthly Duties:Prospective Junior Board of Trustees Member for The Community Hospice Foundation. Primary responsibilities will include providing education to the community on the Community Hospice mission, attending virtual monthly board meetings, organizing fundraising events, and fundraising efforts to support a variety of programs that go beyond what insurance typically covers, such as Grief and Bereavement Services, the Wish Fund, and Camp Erin for grieving children.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-06
S63 Uniform Securities Agent State Law Examination 2018-05-17
  • S66 Uniform Combined State Law Examination
    2019-03-06
  • S63 Uniform Securities Agent State Law Examination
    2018-05-17
Other Names
  • Brian Oconnor
  • Brian Shaw Oconnor
  • Brian Shaw O'COnnor
  • Brian S O'COnnor

View on SEC IAPD

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