Unclaimed Profile

John Arthur O'connor

3D/L CAPITAL MANAGEMENT, LLC·HARTFORD, Connecticut

Series 3, Series 4, Series 7, Series 24, Series 27, Series 53, Series 63, Series 65Clean record27 years registered3D/L CAPITAL MANAGEMENT, LLC

100 CONSTITUTION PLAZA, HARTFORD, CT 06103-1703CRD# 1070038Firm CRD# 283304

Profile Verification

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

Identity

John Arthur O'connor · HARTFORD, CT

Registration

CRD #1070038 · 3D/L CAPITAL MANAGEMENT, LLC · 27 years registered

Brand Profile

Not yet started

Career History

FREEDOM INVESTMENT MANAGEMENT, INC.

Dec 2023 – present

3D/L CAPITAL MANAGEMENT, LLC

Apr 2021 – Dec 2023

HARTFORD, CT

3D ASSET MANAGEMENT, INC.

Sep 2016 – Mar 2021

HARTFORD, CT

3D ASSET MANAGEMENT, INC.

Mar 2006 – May 2016

EAST HARTFORD, CT

USI ADVISORS

Jan 2001 – May 2006

GLASTONBURY, CT

USI SECURITIES, INC.

Jun 1999 – May 2006

GLASTONBURY, CT

Registrations & Exams

FINRA examinations passed

Series 3

Series 4

Series 7

Series 24

Series 27

Series 53

Series 63

Series 65

Registration record

First registered · June 1, 1999

Years registered · 27

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

3D/L CAPITAL MANAGEMENT, LLC

CRD 283304 · SEC 801-107874

AUM

$574M

Regulatory assets under management

Employees

1,422 client accounts

Services offered by 3D/L CAPITAL MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at 3D/L CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does John Arthur O'connor offer?

John Arthur O'connor specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in HARTFORD, Connecticut for a consultation.

What are John Arthur O'connor's credentials?

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

Where is John Arthur O'connor located?

John Arthur O'connor is based in HARTFORD, Connecticut, working with 3D/L CAPITAL MANAGEMENT, LLC. Their office serves clients in the HARTFORD metropolitan area and surrounding communities.

How does John Arthur O'connor charge for services?

John Arthur O'connor's firm is compensated through percentage of aum, other: subadvisor and model provider/strategist fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is 3D/L CAPITAL MANAGEMENT, LLC?

3D/L CAPITAL MANAGEMENT, LLC has approximately 14 employees and manages $574M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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