This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Current firm class

wirehousederived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Feb 24, 2022

First registration

Feb 25, 2022

Dual registered

yes, broker-dealer

Other names

Thomas OConnor|Thomas Patrick OConnor

IAPD individual key

7171263

• Occurred

  Jul 30, 2026
  Advisor changed firm

  Thomas Patrick Oconnor left Rbc Capital Markets, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-14)

  Form ADVobserved 4 days ago
• Occurred

  Nov 1, 2022
  Advisor changed firm

  Thomas Patrick Oconnor left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Rbc Capital Markets, Llc (registered 2022-11-04)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6925d7bb-512a-bc7c-abaf-8e8a74c862b3

First observed

Feb 25, 2022

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.