Thomas Joseph O'Connell

Investment Adviser Representative at BANKERS LIFE ADVISORY SERVICES, INC.

Bloomington, ILCRD #719486Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

34 yrs

States Registered

48 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 48 states

AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaWashingtonWest VirginiaWisconsinWyoming

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 2/25/2016

Series 65

Uniform Investment Adviser Law Examination

Passed 3/27/2006

Series 63

Uniform Securities Agent State Law Examination

Passed 10/24/2005

Series 24

General Securities Principal Examination

Passed 10/22/2020

Series 9

General Securities Sales Supervisor - Options Module Examination

Passed 7/6/2007

Series 10

General Securities Sales Supervisor - General Module Examination

Passed 6/5/2007

Series 8

General Securities Sales Supervisor Examination (Options Module & General Module)

Passed 4/8/1988

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 11/15/1980

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Asset tier	Annual rate
Greater than $4 million	0.30%
$2 million to $4 million	0.40%
$1 million to $2 million	0.50%
$1 million and below	1.25%

Source

BANKERS LIFE ADVISORY Services, INC. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BANKERS LIFE SECURITIES, INC.Current

10/16/2015 – Chicago, IL

CONSECO FINANCIAL SERVICES, INC.

8/5/1998 – 1/12/1999CARMEL, IN

BLC FINANCIAL SERVICES, INC.

6/27/2005 – 10/26/2005CHICAGO, IL

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

6/26/1991 – 12/18/1991NEW YORK, NY

AFS BROKERAGE, INC.

6/12/2002 – 11/25/2003AUSTIN, TX

WELLS FARGO ADVISORS, LLC

5/2/2007 – 3/15/2011BLOOMINGTON, IL

CONSECO EQUITY SALES, INC.

4/28/1999 – 7/19/2000CARMEL, IN

CONSECO FINANCIAL SERVICES, INC.

4/14/1997 – 8/5/1998CARMEL, IN

PRUCO SECURITIES, LLC.

3/2/2006 – 5/2/2007NAPERVILLE, IL

CONNECTICUT MUTUAL FINANCIAL SERVICES, INC.

2/18/1988 – 7/12/1989

NEL EQUITY SERVICES CORPORATION

11/27/1984 – 9/24/1985NEW YORK, NY

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

11/25/1980 – 10/5/1982

ROBERT W. BAIRD & CO. INCORPORATED

11/14/1987 – 1/20/1988

CONSECO EQUITY SALES, INC.

11/13/1993 – 4/14/1997

NML EQUITY SERVICES, INC.

1/24/1983 – 1/19/1988

FORTH FINANCIAL SECURITIES, CORPORATION

1/18/1990 – 7/31/1991RICHMOND, VA

CONSECO EQUITY SALES, INC.

1/12/1999 – 2/3/1999

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

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