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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian O'Connor is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has over 30 years of experience in the financial services industry. Brian has passed the Series 6, 7, 26, 63, and 65 exams. Brian's office is located in Fairfield, CT.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
01/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FAIRFIELD CT)
CT
02/15/2006 - 11/26/2007
A. G. EDWARDS & SONS, INC. (SOUTHPORT CT)
CT
05/21/1990 - 03/10/2005
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
AZ
02/12/1990 - 05/11/1990
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CO
01/22/1990 - 02/17/1990
ENDEAVOR GROUP (DENVER CO)
BC
Issued 02/23/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2006
Series 7 - General Securities Representative Examination
BC
Issued 01/19/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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