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Detailed Report
ANDREW JOSEPH O CONNELL III
ANDREW JOSEPH O CONNELL, ANDREW J O'CONNELL III, ANDREW J O'CONNELL, ANDREW O'CONNELL
CRD#: 5971122
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 112 W BARBEE CHAPEL RD
CHAPEL HILL, NC 27517
Registration History
201220142016201820202022202420262 FIRMS2015 - Present (9 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2011 - 2015 (3 years)
License(s)

State Registrations

B
Arizona 8/26/2016
B
Missouri 8/24/2023
B
California 7/7/2021
B
North Carolina 10/2/2015
B
Connecticut 7/27/2016
IA
North Carolina 12/17/2015
B
Georgia 8/24/2023
B
Oregon 10/16/2024
B
Illinois 3/31/2017
B
Rhode Island 6/13/2019
B
Massachusetts 9/30/2019
B
South Carolina 3/30/2017
B
Michigan 8/29/2024
B
Virginia 5/24/2017

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
112 W BARBEE CHAPEL RD, CHAPEL HILL, NC 27517
165 E FRANKLIN ST, CHAPEL HILL, NC 27514
Registered with this firm since 12/17/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
112 W BARBEE CHAPEL RD, CHAPEL HILL, NC 27517
165 E FRANKLIN ST, CHAPEL HILL, NC 27514
Registered with this firm since 10/2/2015
Previous Registration(s)
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B
 10/03/2011 - 08/21/2015 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) DURHAM, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.