James H. Oconnor

O'CONNOR CAPITAL ADVISORY

Scottsdale, AZ 85250

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CRD#: 1509766

Professional summary

James Harvey Oconnor II, who also goes by Jim Oconnor, is a registered financial advisor currently at O'CONNOR CAPITAL ADVISORY, LLC located in Scottsdale, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim 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.

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harvey Oconnor II's 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

August 19, 2010 - Present

O'CONNOR CAPITAL ADVISORY, LLC

Office #1: 5635 N Scottsdale Rd Ste 170, Scottsdale, AZ 85250

RIA

CRD#: 152687

Scottsdale, AZ

Past

January 4, 2011 - November 30, 2011

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

August 15, 2006 - January 8, 2009

ZIONS DIRECT, INC.

CRD#: 17776

SALT LAKE CITY, UT

Past

May 23, 2006 - January 8, 2009

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

PHOENIX, AZ

Past

September 27, 1990 - August 15, 2006

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

PHOENIX, AZ

Past

June 16, 1986 - September 24, 1990

STITELER INVESTMENTS, INC.

CRD#: 7593

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

Arizona
(8/19/2010)

IAR

California
(6/10/2013)

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: 9/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/16/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/27/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/12/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/20/1986

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/1998

General Securities Principal Examination

Current Firm

O'CONNOR CAPITAL ADVISORY, LLC

CRD#: 152687 / SEC#: 801-121777

RIA

Registered Investment Advisory firm - (8/19/2021 Terminated)

Arizona

Registered Investment Advisory firm - (4/25/2012 Approved)

California

Registered Investment Advisory firm - (6/10/2013 Approved)

Texas

Registered Investment Advisory firm - (11/15/2022 Terminated)

Washington

Registered Investment Advisory firm - (8/19/2018 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).

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Contact information

Main Address

5635 N Scottsdale Rd Ste 170, Scottsdale, AZ 85250

Mailing Address

Phone number

(480) 729-6260

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	132
AUM (Assets Under Management)	$ 109,750,488

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

James H. Oconnor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Harvey Oconnor II's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

ZIONS DIRECT, INC.

ZIONS CAPITAL ADVISORS, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

STITELER INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2006

Series 66

Date: 3/16/2000

Series 63

Date: 5/27/1986

Series 7

Date: 12/12/1990

Series 22

Date: 5/20/1986

Series 24

Date: 10/9/1998

Current Firm

O'CONNOR CAPITAL ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

O'CONNOR CAPITAL ADVISORY, LLC

TRUST BUT VERIFY

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