Unclaimed Profile

James Joseph O'connor

ASTER INVESTMENT MANAGEMENT CO INC·LARKSPUR, California

Series 7, Series 63Clean record14 years registeredASTER INVESTMENT MANAGEMENT CO INC

60 E SIR FRANCIS DRAKE BLVD STE 306, LARKSPUR, CA 94939CRD# 4314571Firm CRD# 106551

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Joseph O'connor · LARKSPUR, CA

Registration

CRD #4314571 · ASTER INVESTMENT MANAGEMENT CO INC · 14 years registered

Brand Profile

Not yet started

Career History

1919 INVESTMENT COUNSEL, LLC

Oct 2018 – present

RAND & ASSOCIATES

Oct 2016 – Oct 2018

SAN FRANCISCO, CA

ASTER INVESTMENT MANAGEMENT CO INC

Jun 2012 – Sep 2013

LARKSPUR, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Registration record

First registered · June 8, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ASTER INVESTMENT MANAGEMENT CO INC

CRD 106551 · SEC 801-12928

AUM

$2.7B

Regulatory assets under management

Employees

3 client accounts

Services offered by ASTER INVESTMENT MANAGEMENT CO INC

Per Form ADV

Portfolio management (pooled investments)

Client types served by the firm

Per Form ADV

Institutional Investors

View all advisors at ASTER INVESTMENT MANAGEMENT CO INC →

Introduction

Speak with James

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in LARKSPUR?

Browse all registered financial advisors in LARKSPUR, California or claim this profile if it's yours.

Browse LARKSPUR Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does James Joseph O'connor offer?

James Joseph O'connor specializes in Investment Management, Fee-Only Advisory. Contact their office in LARKSPUR, California for a consultation.

What are James Joseph O'connor's credentials?

James Joseph O'connor is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Joseph O'connor located?

James Joseph O'connor is based in LARKSPUR, California, working with ASTER INVESTMENT MANAGEMENT CO INC. Their office serves clients in the LARKSPUR metropolitan area and surrounding communities.

How does James Joseph O'connor charge for services?

James Joseph O'connor'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 ASTER INVESTMENT MANAGEMENT CO INC?

ASTER INVESTMENT MANAGEMENT CO INC has approximately 10 employees and manages $2.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →