Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen O'Connell has been in the financial services industry for over 25 years. He is a Registered Principal with National Financial Services LLC and holds the Series 4, 7, 8, 24, 53, and 63 licenses. Stephen has experience in various financial services areas, including investments, options, and municipal securities. He has previously held positions with Fidelity Brokerage Services LLC, Scudder Financial Services, Inc., 1784 Investor Services, Inc., Baybanks Brokerage Services, Inc., and Donaldson, Lufkin & Jenrette Securities Corporation.
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.
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.
1
2
RI
04/29/2015 - Present
National Financial Services LLC (SMITHFIELD RI)
MA
02/15/2001 - 04/13/2010
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
03/17/2000 - 02/15/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MA
10/10/1996 - 01/06/2000
SCUDDER FINANCIAL SERVICES, INC. (BOSTON MA)
MA
08/23/1996 - 09/13/1996
1784 INVESTOR SERVICES, INC. (BOSTON MA)
NA
07/17/1995 - 08/20/1996
BAYBANKS BROKERAGE SERVICES, INC.
NJ
08/14/1992 - 06/23/1995
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 09/15/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/23/2015
Series 24 - General Securities Principal Examination
BC
Issued 04/11/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/26/1994
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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