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James Harvey Oconnor

O'CONNOR CAPITAL ADVISORY, LLC·SCOTTSDALE, Arizona
Series 7, Series 22, Series 24, Series 63, Series 65, Series 66Clean record20 years registeredO'CONNOR CAPITAL ADVISORY, LLC
5635 N SCOTTSDALE RD, SCOTTSDALE, AZ 85250CRD# 1509766Firm CRD# 152687

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Harvey Oconnor · SCOTTSDALE, AZ
Registration
CRD #1509766 · O'CONNOR CAPITAL ADVISORY, LLC · 20 years registered
Brand Profile
Not yet started
01

Career History

O'CONNOR CAPITAL ADVISORY, LLC
Aug 2010 – present
CONTANGO CAPITAL ADVISORS, INC.
May 2006 – Jan 2009
PHOENIX, AZ
02

Registrations & Exams

FINRA examinations passed
Series 7
Series 22
Series 24
Series 63
Series 65
Series 66
Registration record
First registered · May 23, 2006
Years registered · 20
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
O'CONNOR CAPITAL ADVISORY, LLC
CRD 152687 · SEC 801-121777
AUM
$122M
Regulatory assets under management
Employees
2
179 client accounts
Services offered by O'CONNOR CAPITAL ADVISORY, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at O'CONNOR CAPITAL ADVISORY, LLC →
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Frequently Asked Questions

What services does James Harvey Oconnor offer?
James Harvey Oconnor specializes in Financial Planning, Investment Management, Fee-Only Advisory. Contact their office in SCOTTSDALE, Arizona for a consultation.
What are James Harvey Oconnor's credentials?
James Harvey Oconnor is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Harvey Oconnor located?
James Harvey Oconnor is based in SCOTTSDALE, Arizona, working with O'CONNOR CAPITAL ADVISORY, LLC. Their office serves clients in the SCOTTSDALE metropolitan area and surrounding communities.
How does James Harvey Oconnor charge for services?
James Harvey Oconnor's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is O'CONNOR CAPITAL ADVISORY, LLC?
O'CONNOR CAPITAL ADVISORY, LLC has approximately 2 employees and manages $122M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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