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James Harvey Oconnor

O'COnnor Capital Advisory, LLC

Scottsdale, AZ

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Current Employers
O'COnnor Capital Advisory, Llc

5635 N Scottsdale Rd Ste 170, Scottsdale, AZ 85250 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2013-06-10
AZ RA APPROVED 2010-08-19
  • CA RA
    APPROVED
    Since 2013-06-10
  • AZ RA
    APPROVED
    Since 2010-08-19

Branch Locations

5635 N Scottsdale Rd Ste 170, Scottsdale, AZ 85250 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
O'COnnor Capital Advisory, Llc Phoenix AZ 01/2010 Present
Coronado Schools Foundation Coronado CA 11/2013 07/2017
Previous Registrations
Other Businesses

1) O'CONNOR CAPITAL ADVISORY, LLC -OWNER/MANAGING MEMBER - INVESTMENT ADVISORY SERVICES - PHOENIX, AZ - SINCE 01/2010---

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-06
S66 Uniform Combined State Law Examination 2000-03-16
S63 Uniform Securities Agent State Law Examination 1986-05-27
  • S65 Uniform Investment Adviser Law Examination
    2006-09-06
  • S66 Uniform Combined State Law Examination
    2000-03-16
  • S63 Uniform Securities Agent State Law Examination
    1986-05-27
Other Names
  • Jim Oconnor

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC
FAITH INVESTOR SERVICES
MERIDIAN WEALTH MANAGEMENT, LLC

Other Investors

GARY TODD STRINGER
SHAUN ELIZABETH BRACKEN
KENNETH ROY BLACKBURN
MARC ALAN NORMANN
Susanne T Gibo
PAUL JOSEPH SEIDMAN
JARON DAVID CARMICHAEL
HUSSEIN ELGOHARY

Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

More in Scottsdale, AZ

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