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David Patrick Oconnor

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC·ADDISON, Texas
SIE, Series 7, Series 14, Series 24, Series 28, Series 31, Series 63, Series 66, Series 79TO, Series 99TO19 years registeredWATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
14275 MIDWAY ROAD, ADDISON, TX 75001CRD# 2143494Firm CRD# 144172

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Patrick Oconnor · ADDISON, TX
Registration
CRD #2143494 · WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC · 19 years registered
Brand Profile
Not yet started
01

Career History

WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
Jun 2007 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 14
Series 24
Series 28
Series 31
Series 63
Series 66
Series 79TO
Series 99TO
Registration record
First registered · June 20, 2007
Years registered · 19
03

Disclosure History

2001Regulatory·Final
1999Customer Dispute·Award / Judgment

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
CRD 144172 · SEC 801-108907
AUM
$150M
Regulatory assets under management
Employees
3
324 client accounts
Services offered by WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC
Per Form ADV
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
View all advisors at WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC →
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05

Frequently Asked Questions

What services does David Patrick Oconnor offer?
David Patrick Oconnor specializes in Investment Management, Fee-Only Advisory. Contact their office in ADDISON, Texas for a consultation.
What are David Patrick Oconnor's credentials?
David Patrick Oconnor is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Patrick Oconnor located?
David Patrick Oconnor is based in ADDISON, Texas, working with WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC. Their office serves clients in the ADDISON metropolitan area and surrounding communities.
How does David Patrick Oconnor charge for services?
David Patrick 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 WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC?
WATERFORD CAPITAL INVESTMENT ADVISORY SERVICES LLC has approximately 3 employees and manages $150M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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