Shawn Joseph Oconnor

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/1999 → 02/2018
  Sii Investments, Inc.
  Grand Island, NE
• 02/2018 → Present
  Lpl Financial Llc
  Grand Island, NE

Other Businesses

1. 03/09/2018 - Equitable Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 9/4/2018 - O'Connor & Associates, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Agent - Start Date: 08/01/1997 - 10 Hours Per Month/5 Hours During Securities Trading - Soliciting and selling Insurance Products. 3. 05/09/2019 - Family Farm - Not investment related - 49770 HIGHWAY 56 Greeley Ne. 68842 - Business Owner - start date:05/01/1982 - 25 hrs/mo - 0 hrs during trading - Owner/operator.

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-11-07
• S63 Uniform Securities Agent State Law Examination
  1999-04-09

Designations

• Chartered Financial Consultant