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Thomas Francis Oconnell

Thomas Francis O'COnnell

Reno, NV

CRD 3218980

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Employer firm

Thomas Francis O'cOnnell CRD 292181

Reported services (Item 5G)

  • EDUCATIONAL-ADVISORY INDIVIDUALS/SMALL BUSINESS

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

Current Employers
Thomas Francis O'COnnell

Reno, NV • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-06-20
  • CA RA
    APPROVED
    Since 2018-06-20

Branch Locations

Reno, NV • 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
Thomas F. O'COnnell Morgan Hill CA 01/2008 Present
  • 01/2008 → Present
    Thomas F. O'COnnell
    Morgan Hill, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-12-21
S65 Uniform Investment Adviser Law Examination 2017-12-16
  • S63 Uniform Securities Agent State Law Examination
    2017-12-21
  • S65 Uniform Investment Adviser Law Examination
    2017-12-16
Other Names
  • Tom Oconnell

View on SEC IAPD

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