John A. O'connor

FREEDOM INVESTMENT MANAGEMENT

Hartford, CT 06103-1703

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CRD#: 1070038

Professional summary

John Arthur O'connor, who also goes by John Arthur Oconnor, is a registered financial advisor currently at FREEDOM INVESTMENT MANAGEMENT, INC. located in Hartford, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. John has worked at 12 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Arthur Oconnor

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Arthur O'connor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 12, 2023 - Present

FREEDOM INVESTMENT MANAGEMENT, INC.

Office #1: 100 Constitution Plz Fl 7, Hartford, CT 06103-1703

RIA

CRD#: 126052

Hartford, CT

Past

April 8, 2021 - December 31, 2023

3D/L CAPITAL MANAGEMENT, LLC

RIA

CRD#: 283304

HARTFORD, CT

Past

September 21, 2016 - March 31, 2021

3D ASSET MANAGEMENT, INC.

RIA

CRD#: 139595

HARTFORD, CT

Past

March 1, 2006 - May 5, 2016

3D ASSET MANAGEMENT, INC.

RIA

CRD#: 139595

EAST HARTFORD, CT

Past

January 2, 2001 - May 9, 2006

USI ADVISORS

RIA

CRD#: 108113

GLASTONBURY, CT

Past

June 1, 1999 - May 9, 2006

USI SECURITIES, INC.

RIA

CRD#: 43793

GLASTONBURY, CT

Past

February 27, 1998 - July 6, 1998

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 27, 1998 - May 30, 2006

USI SECURITIES, INC.

CRD#: 43793

GLASTONBURY, CT

Past

May 1, 1996 - January 6, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 29, 1996 - January 6, 1998

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

October 6, 1989 - October 14, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

February 24, 1989 - October 12, 1989

RESOURCE BROKERAGE CORP.

CRD#: 19073

Past

July 7, 1988 - October 20, 1988

JONATHAN ALAN & CO., INC.

CRD#: 15914

Past

October 20, 1982 - July 19, 1988

NORTH AMERICAN INVESTMENT CORP.

CRD#: 7568

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FREEDOM INVESTMENT MANAGEMENT, INC.

CRD#: 126052 / SEC#: 801-68642

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

Arizona

Registered Investment Advisory firm - (1/10/2008 Terminated)

California

Registered Investment Advisory firm - (1/11/2008 Terminated)

Colorado

Registered Investment Advisory firm - (1/15/2008 Terminated)

Connecticut

Registered Investment Advisory firm - (1/10/2008 Terminated)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Idaho

Registered Investment Advisory firm - (1/10/2008 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2008 Terminated)

Iowa

Registered Investment Advisory firm - (1/11/2008 Terminated)

Maryland

Registered Investment Advisory firm - (1/31/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/14/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (1/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - (1/10/2008 Terminated)

Ohio

Registered Investment Advisory firm - (1/10/2008 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2008 Terminated)

Virginia

Registered Investment Advisory firm - (1/17/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(12/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/2/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/1/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 8/28/2000

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/20/1989

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/12/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/6/1984

General Securities Principal Examination

Current Firm

FREEDOM INVESTMENT MANAGEMENT, INC.

CRD#: 126052 / SEC#: 801-68642

RIA

Registered Investment Advisory firm - (1/8/2008 Approved)

Arizona

Registered Investment Advisory firm - (1/10/2008 Terminated)

California

Registered Investment Advisory firm - (1/11/2008 Terminated)

Colorado

Registered Investment Advisory firm - (1/15/2008 Terminated)

Connecticut

Registered Investment Advisory firm - (1/10/2008 Terminated)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Idaho

Registered Investment Advisory firm - (1/10/2008 Terminated)

Illinois

Registered Investment Advisory firm - (1/8/2008 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2008 Terminated)

Iowa

Registered Investment Advisory firm - (1/11/2008 Terminated)

Maryland

Registered Investment Advisory firm - (1/31/2008 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/14/2008 Terminated)

New Jersey

Registered Investment Advisory firm - (1/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - (1/10/2008 Terminated)

Ohio

Registered Investment Advisory firm - (1/10/2008 Terminated)

Texas

Registered Investment Advisory firm - (1/10/2008 Terminated)

Virginia

Registered Investment Advisory firm - (1/17/2008 Terminated)

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Contact information

Main Address

100 Constitution Plz Fl 7, Hartford, CT 06103-1703

Mailing Address

Phone number

(860) 291-1998

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FREEDOM PART 2A BROCHURE (10/3/2025)

FREEDOM WRAP FEE PROGRAM BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 605,511,089

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John A. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Arthur O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

3D/L CAPITAL MANAGEMENT, LLC

3D ASSET MANAGEMENT, INC.

3D ASSET MANAGEMENT, INC.

USI ADVISORS

USI SECURITIES, INC.

COMMONWEALTH FINANCIAL NETWORK

USI SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML DISTRIBUTORS, LLC

G. R. PHELPS & CO., INC.

RESOURCE BROKERAGE CORP.

JONATHAN ALAN & CO., INC.

NORTH AMERICAN INVESTMENT CORP.

Primary Firm SEC Registration

FREEDOM INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/1991

Series 63

Date: 4/6/1983

Series 3

Date: 10/1/1986

Series 7

Date: 10/16/1982

Series 27

Date: 8/28/2000

Series 53

Date: 11/20/1989

Series 4

Date: 8/12/1987

Series 24

Date: 11/6/1984

Current Firm

FREEDOM INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FREEDOM INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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